cybersecurity risks and cyber incidents. Design/methodology/approach – The paper provides an overview of the guidance, including … recommended mention of cybersecurity and cyber incident considerations in a company's discussion of risk factors, MD …. The paper recommends steps that companies should take in light of the guidance, including a review of cybersecurity …

Purpose To provide financial institutions an overview of the developments in cybersecurity regulation of financial …/methodology/approach Reviews US, UK and EU regulatory developments in the cybersecurity area and provides several best practice tips financial … institutions should consider and implement to improve their cybersecurity compliance programs. Findings While cyber-threats and …

registered investment advisers (RIAs) when cybersecurity breaches have occurred and to discuss whether the SEC is imposing a … cybersecurity attacks. Practical implications Firms may want to address the likelihood of an SEC enforcement action if a breach …/value Discusses the possible future of SEC enforcement actions regarding cybersecurity breaches.  …

, including cybersecurity. The examination priorities also emphasize OCIE’s evolving ability to analyze data to identify and …

49 investment advisory firms to address legal, regulatory and compliance challenges related to cybersecurity. Design … the SEC’s Cybersecurity Examination Initiative which began last year. Cybersecurity is an Exam Priority for the SEC in …

Purpose – To summarize and comment on FINRA’s report on cybersecurity practices, published on February 4, 2015, which … arose from its 2014 targeted examination of firms’ cybersecurity preparedness. Design/methodology/approach – Explains the … developing their respective cybersecurity programs in eight areas: governance and risk management for cybersecurity …

Purpose To summarize and analyze the CFTC’s proposed enhanced cybersecurity testing rules for entities that run the … related to cybersecurity testing, including enhanced cybersecurity testing requirements and guidance on risk analysis and … against cybersecurity threats that may affect the functioning of financial markets. Originality/value Practical guidance from …

Purpose To analyze the cybersecurity regulations for financial institutions issued by the New York State Department of … with the new regulations from experienced lawyers with specialties in cybersecurity, privacy and communications.  …

Purpose – To alert broker-dealers to several regulatory developments relating to cybersecurity threats. Design …/methodology/approach – Reviews four regulatory developments in the cybersecurity area and provides several steps broker-dealers should undertake to … review and improve their cybersecurity and information technology protocols and practices. Findings – While FINRA’s new …

Purpose – To alert broker-dealers to the SEC’s plans to examine their cybersecurity practices, and offer advice on … compliance. Design/methodology/approach – Reviews the SEC’s proposed cybersecurity framework and provides suggestions for broker … state of the cybersecurity industry in the broker-dealer context. Practical implications – Broker-Dealers should review the …