SEC OCIE Cybersecurity Services

Many regulated and non regulated investment management firms such as hedge funds, wealth management and private equity firms have believed they were largely an unattractive target for cybercrime. However, by storing both sensitive Market Systems and Customer Data, and an evolving threat landscape, this risk is now higher than ever.

In April 2014, the U.S. Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examination (OCIE)  announced by a Risk Alert, that it would be investigating the Cybersecurity Controls of more than 50 deal broker organisations.

The OCIE is using an exam as the means to understand the maturity, and cybersecurity preparedness of firms within the securities industry, including recent cyber threats affecting the sector.

The OCIE Cybersecurity controls outlined within the exam are broadly based on the NIST Framework for Improving Critical Infrastructure Security, representing a best practice set of security controls for organisations, and closely aligned  with global standards such as  ISO27001. 

With the SEC’s increasing focus on Cybersecurity, and the second round of examinations are expected to take place in Q3 2015, it is important to ensure your firm will be able to respond appropriately, when requested by the SEC. 

JAW Consulting UK has extensive experience providing support and guidance to clients on how to meet SEC OCIE Cybersecurity and ISO27001 standards. Whether your firm are looking to align your existing cybersecurity controls with OCIE, or a start-up requiring a comprehensive cyber security plan, we can help you as little or as much as required. 

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SEC OCIE Cybersecurity Compliance Services We Offer

There are five main services we provide, providing you advice , guidance and ongoing support to meet the requirements of the SEC OCIE Cybersecurity Exam.

SEC OCIE Cybersecurity Gap Analysis

SEC OCIE Examination Readiness Assessment

SEC OCIE Cybersecurity Plan and Policy Implementation

SEC OCIE Risk Assessment

SEC OCIE Virtual Cyber Security Team Service

For more information on any of our SEC OCIE Cybersecurity Compliance Services, please get in touch with us.