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