Penetration Test and Vulnerability Assessments:
Examining the SEC and FINRA Requirements
While advancements in technology have greatly improved the speed, efficiency, and capability of investment advisers’ and broker-dealers’ systems and workflows, these developments have also significantly increased operational and reputational risk. An isolated system intrusion can have dramatic consequences for a SEC or FINRA registrant including financial loss, ongoing liability to clients and investors and potential regulatory enforcement action. In today’s environment, if a “hacked” SEC or FINRA registrant has any hope of avoiding a regulatory enforcement action, it is imperative they can demonstrate that they have adequate policies and procedures to identify and test potential cybersecurity vulnerabilities and weaknesses. Such policies must also address the experience, security vetting process and the location of any external party performing such tests.

Meet Your Hosts
Our industry experts bring decades of combined experience and expertise to help you understand what measures you need to take to remain compliant with the SEC and FINRA regulations.
Download the Penetration Test Checklist here.
Access the presentation from the webcast here.
Watch this webcast to find out what you should be doing to remain compliant and ensure the integrity, resiliency, and capacity of your infrastructure.