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SEC targets cyber security among exam priorities for year


Cyber security is among the 2018 examination priorities listed by the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations.

In a statement issued Wednesday listing its exam priorities for the year, the SEC said each of its exam programs “will prioritize cyber security with an emphasis on, among other things, governance and risk assessment, access rights and controls, data loss prevention, vendor management, training and incident response.”

The statement said also of particular interest this year will be “matters involving critical market infrastructure, duties to retail investors and developments in cryptocurrency, initial coin offerings and secondary market trading.”

Besides cyber, the other categories of exam priorities are:

- Compliance and risks in critical market infrastructure.

- Retail investors, including seniors and those saving for retirement.

- Oversight of the Financial Industry Regulatory Authority, which governs business dealings conducted between stock dealers, brokers and all public investors and examination of the Municipal Securities Rulemaking Board.

- Anti-money-laundering programs.