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Cybersecurity and Resiliency Observations

SECURITIES AND EXCHANGE COMMISSIONC ybersecurity and Resiliency ObservationsOFFICE OF COMPLIANCE INSPECTIONS AND EXAMINATIONSDISCLAIMER: This statement represents the views of the staff of the Office of Compliance Inspections and Examinations (OCIE). It is not a rule, regulation, or statement of the Securities and Exchange Commission. The Commission has neither approved nor disapproved its content. This statement, like all staff guidance, has no legal force or effect: it does not alter or amend applicable law, and it creates no new or additional obligations for any and Risk management ..2 Access Rights and Controls ..3 Data Loss Prevention ..4 Mobile security ..6 Incident Response and Resiliency ..6 Vendor management ..8 Training and Awareness ..9 Additional Resources.

various industry practices and approaches to managing and combating cybersecurity risk and the maintenance and enhancement of operational resiliency. These include practices in the areas of governance and risk management, access rights and controls, data loss prevention, mobile security, incident response and resiliency, vendor management, and

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