Security Exchange Commission Risk Alert Reference Guide

On April 15, 2014, the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert describing its Cybersecurity Initiative. This Risk Alert states:

“OCIE’s cybersecurity initiative is designed to assess cybersecurity preparedness in the securities industry and to obtain information about the industry’s recent experiences with certain types of cyber threats. As part of this initiative, OCIE will conduct examinations of more than 50 registered broker-dealers and registered investment advisers focused on the following: the entity’s cybersecurity governance, identification and assessment of cybersecurity risks, protection of networks and information, risks associated with remote customer access and funds transfer requests, risks associated with vendors and other third parties, detection of unauthorized activity, and experiences with certain cybersecurity threats.”

The Tenable suite of products can assist a firm in achieving goals outlined in the risk alert. Tenable’s SecurityCenter allows a single console to administer continuous active scanning, passive detection, log analysis, vulnerability management, and compliance checking across an organization. Because SecurityCenter is completely scalable and customizable, dashboards and reports can be fine-tuned to deliver the most advanced analysis of cybersecurity risks. SecurityCenter Continuous View (SC CV) allows organizations to improve cybersecurity threat mitigation by integrating vulnerability and threat management into one package.

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