Published on Jan 28th, 2020 |

The SEC’s Office of Compliance Inspections and Examinations (OCIE) today issued examination observations related to cybersecurity and operational resiliency practices taken by market participants.

The topics addressed in the observations include:

  • Governance and Risk Management
  • Access rights and Controls
  • Data Loss Prevention
  • Mobile Security
  • Incident Response and Resiliency
  • Vendor Management
  • Training and Awareness

If you’d like to read the examination observations, see here.

To see other OCIE publications, please visit