Cybersecurity and Resiliency Observations – SEC Office of Compliance Inspections and Examinations

Today, Cybersecurity risks originate from many sources, both domestic and from international regions. Most importantly, these cybersecurity risks occur across the array of securities and financial markets. The seriousness of the threats and the heightened concerns to investors, issuers, and other securities market participants, and the financial markets and economy more generally, are considerable and escalating.

As the markets and their vendors ecosystem have increasingly relied on technology and systems, cybersecurity risk management has become crucial. The SEC has focused on cybersecurity risks for many years, with specific attention to market systems, customer personal data protection, disclosure of cybersecurity risks and incidents, and compliance with legal and regulatory requirements.

The Cybersecurity and Resiliency Observations – SEC Office Of Compliance Inspections and Examinations document highlights Cybersecurity Guidance and Best Practices. Cybersecurity is a key priority for OCIE.

Click the link below to view the OCIE Cybersecurity document.


Company Contact Information:
Thomas J. Canova
Co-Founder, CMO
Modevity, LLC  610-251-0700



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