Eze Castle Integration

Video: Preparing for SEC Cybersecurity Exams:
How to Assess Your Firm's Readiness & Comply with the Latest Guidelines

Continuing its growing focus on cybersecurity, the SEC announced in April 2014 that it would be conducting examinations on 50 registered investment firms to evaluate their cybersecurity measures. As part of the announcement, the SEC provided a sample list of questions firms should expect to answer.

In order to help firms assess their cybersecurity readiness and prepare for SEC exams, Eze Castle Integration hosted an informative webinar focused on investment firm cybersecurity.

Members of Eze Castle’s Cybersecurity Incident Response Team (CSIRT) addressed the SEC’s recent recommendations and provided guidance around how firms can prepare. Specific discussion points included:

  • How firms can identify cybersecurity risks;
  • Sample answers to the SEC’s cybersecurity questionnaire;
  • Policies to implement regarding infrastructure risk and access control; and
  • The importance of written information security policies (WISP).