去经纪人:Finra和SEC瞄准缺乏网络政策和实践

2月3日,证券交易委员会(SEC)和金融行业监管机构(FINRA)每次发布关于经纪和咨询公司的网络安全问题的报告,两者应该被认为需要阅读首席信息保安人员,首席信息官员,法律团队和其他任何责任管理网络安全风险。These reports highlight best practices for managing cybersecurity risk and areas for potential improvement, and should encourage firms to consider further investments in cybersecurity because, as FINRA specifically points out, it ‘‘expects firms to consider the principles and effective practices presented in the report as they develop or enhance their cybersecurity programs.’’ As a result, firms should anticipate that elements covered in the reports will be benchmarks for measuring the effectiveness of a firm’s cybersecurity program in any enforcement action brought by either the SEC or FINRA.

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*以彭博BNA的许可转载4月份隐私与安全法律报告6,2015