Keeping your organization aligned with the SEC's cybersecurity guidance

The U.S. Securities and Exchange Commission (SEC) has focused on cybersecurity issues for many years, with particular attention to market systems, customer data protection, disclosure of material cybersecurity risks and incidents, and compliance with legal and regulatory obligations under the federal securities laws. As part of this initiative, the SEC created a unit within its Enforcement Division focused on targeting cyber-related misconduct.

In this on-demand webinar, Baker Tilly cybersecurity specialists cover the SEC’s guidance and requirements, and how organizations should evaluate their risks and potential compliance obligations.

Learning objectives:

After watching this on-demand webinar, participants will be able to:

• State the SEC’s expectations for market participants within the cybersecurity realm.
• Explain the cybersecurity capabilities organizations should implement to meet the SEC's expectations.
• Describe how organizations can evaluate their adherence to the SEC's guidelines.
• Discuss what organizations are required to disclosure as part of the SEC cybersecurity guidelines 

Who should watch?

The SEC cybersecurity guidance applies to broker-dealers, investment advisers, investment companies, exchanges, and other market participants. Any organization that participates within our financial markets needs to understand the SEC's guidance.

For more information on this topic, or to learn how Baker Tilly specialists can help, contact our team.