A brief “heads up” from Focus 1 on SEC compliance matters we believe to be timely and relevant.  Brought to you by Caleb Diaz, the host of “A Moment of Focus.”

Supplement Document:

  1. Teleworking/Cybersecurity Considerations – A Checklist

Additional Documents:

  1. 2014-04-15 Risk Alert – OCIE Cybersecurity Initiative
  2. 2015-02-03 Risk Alert – Cybersecurity Examination Sweep Summary
  3. 2015-04 IM Guidance Update – Cybersecurity Guidance
  4. 2015-09-15 Risk Alert – Cybersecurity Examination Initiative
  5. 2017-05-17 Risk Alert – Cybersecurity Ransomware
  6. 2017-08-07 Risk Alert – Observations from Cybersecurity Examinations
  7. 2020-01-27 OCIE Cybersecurity and Resiliency Observations
  8. 2020-07-10 Risk Alert – Cybersecurity Ransomware

A Moment of Focus” is a podcast produced and distributed by Focus 1 Associates (“Focus 1”), an SEC compliance consulting firm.  Focus 1 does not provide tax or legal advice.  Opinions and projections  are as of the date of their first inclusion herein and are subject to change without notice to the viewer/listener.  While the information presented is believed to be from reliable sources, we make no representation as to its completeness or accuracy. This podcast is intended for educational purposes only and should not be construed as advice or a guarantee that you will achieve a desired result.