Observations Archives - Elteni https://www.elteni.com/tag/observations/ Cybersecurity Consulting and Advisory Thu, 31 Dec 2020 23:43:45 +0000 en-US hourly 1 https://www.elteni.com/wp-content/uploads/2019/11/Circle-1x1-50x50.png Observations Archives - Elteni https://www.elteni.com/tag/observations/ 32 32 The SEC’s OCIE Releases Their Observations From Examinations https://www.elteni.com/the-secs-ocie-releases-their-observations-from-examinations/ Thu, 30 Jan 2020 23:56:32 +0000 https://www.elteni.com/?p=17488 On January 27, 2020 the Securities and Exchange Commission Commission's Office of Compliance Inspections and Examinations issued examination observations related to cybersecurity and operational resiliency practices undertaken by market participants. We reviewed this alert and simplified it into major points that are easily digestible. The OCIE provided the following observations: Governance and Risk Management Senior leadership is

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