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This is an important comprehensive, yet simple, set of observations on cyber security and resilience practices, based upon a significant quantitative sample. From the Security and Exchange Commissions (SEC), Office of Compliance, Inspection and Examinations (OCIE). (https://lnkd.in/eWUygZK)
AKA a report from the regulator and auditor of listed companies in the US. On what they see as the areas of compliance failure and remedial recommendations for cyber security and resilience on FIs. It is a risk based assessment of SEC registered investment advisers, investment companies, broker-dealers, self-regulatory organizations, clearing agencies, transfer agents, and others.
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