TIM-6705 v1

McNiff, K. C., & Beatty, V. L. (2017). Operation digital shield: Cybersecurity regulations and best practices for investment advisers. Business Law Today.
This article highlights why cybersecurity is among U.S. Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) 2017 examination priorities and also addresses the regulatory cybersecurity framework applicable to investment advisers and what steps advisers can take to combat cyber-attacks. Focus reading on introduction, background, governance and risk assessment, and access rights and controls.

The Financial Industry Regulatory Authority. (2015, February). Report on cybersecurity practices. FIRNA.
This resource is a report of FINRA’s 2014 targeted examination, which is intended to assist organizations in the financial services and other sectors that make responding to cyber threats and attacks a high priority. Focus reading on pages 1-3, 6-8, and 12-13.

National Institute of Standards and Technology. (2018, April 16). Framework for improving critical infrastructure cybersecurity, version 1.1. CSRC.
This resource presents a voluntary risk management framework (“the Framework”) that consists of standards, guidelines, and best practices to manage cybersecurity-related risk to promote protection and resilience of critical infrastructure and other sectors important to the economy and national security. Focus reading on pages 1-7.

Security Exchange Commission. (2020, January 27). Cybersecurity and resiliency observations.
SEC Office of Compliance Inspections and Examination uses this resource to encourage market participants to review their practices, policies, and procedures with respect to cybersecurity and operational resiliency, which is also related to the finance and banking sector. Focus reading on pages 1-4.

Securities and Exchange Commission. (2017, January 12). SEC announces 2017 examination priorities.
This resource, which was released in 2017, is an OCIE initiative to examine cybersecurity compliance and controls at broker-dealers and investment advisers(i.e., finance and banking sector).

Federal Financial Institutions Examination Council (2016). Information Security.
This resource provides guidance to examiners and addresses factors necessary to assess the level of security risks to a financial institution’s information systems. It also helps examiners evaluate the adequacy of the information security program’s integration into overall risk management. Focus reading on page ii.