SEC releases cybersecurity guidelines for financial advisers

04/17/2014 | Financial Advisor

The Securities and Exchange Commission's Office of Compliance Inspections and Examinations this week issued a risk alert focused on cybersecurity governance, identification and assessment of cybersecurity risks, protection of networks and information, and other issues. The agency urged financial advisers to conduct regular risk assessments to identify threats, stressing remote customer access and funds transfer requests as particular concerns.

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