FINRA Cyber Security Checklist
Is your Financial Firm meeting FINRA/SEC CyberSecurity Requirements?
While there is no one-size fits all approach to cybersecurity, FINRA’s 2015 report offers a comprehensive approach to cybersecurity that broker-dealers should consider in their IT compliance efforts. Specifically, the report outlines “principles and effective practices” for cybersecurity that are intended to assist firms in their efforts to respond to sophisticated and evolving cyber-threats by 1) identifying and addressing vulnerabilities in their systems; and 2) reviewing their approach to managing threats to risk assessment procedures, IT protocols and application management.
Download the FINRA Cyber Security CheckList