SEC Exam Sweep Reveals Adviser Cyber Efforts InvestmentNews - TopicsExpress

SEC Exam Sweep Reveals Adviser Cyber Efforts InvestmentNews (09/16/14) Schoeff, Mark, Jr. Most investment advisers and brokers are assessing electronic security at their firms, but their approach and frequency vary widely, according to preliminary observations from a Securities and Exchange Commission (SEC) exam sweep. The regulator has reviewed cybersecurity policies at 50 investment advisers and 50 brokerages, according to Jane Jarcho, the national associate director of the SECs investment adviser and investment company examination program. The vast majority of firms conduct firmwide inventories” of electronic resources (hardware, software, data), maintain written security policies, and conduct periodic risk assessments, Jarcho said.

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