TITLE

The New Audit: Security

AUTHOR(S)
STEINERT-THRELKELD, TOM
PUB. DATE
February 2010
SOURCE
Securities Industry News;2/8/2010, Vol. 22 Issue 3, p3
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
In this article, the author discusses the possibility of a second audit that will be required by the U.S. Securities and Exchange Commission (SEC) to asses the security of the information systems of companies trading on Wall Street in the future. The second audit to be conducted by an independent firm is intended to reassure public markets and regulators, among others, that the systems of financial entities, such as trading firms, are secure and shielded from internal or external attack, malfunction or breakdown.
ACCESSION #
48081242

 

Related Articles

  • The SEC Is Getting Into the Weeds. Giachetti, Thomas D. // Investment Advisor;Sep2014, Vol. 34 Issue 9, p82 

    The article focuses on the U.S. Securities and Exchange Commission (SEC) focus area of the exams. The areas include the custody, performance composites and non-composite presentations, and assets under management. It also include the private investment vehicles and information security...

  • 2014 Marks Decline in Confidential Information Destruction Investments.  // Security: Solutions for Enterprise Security Leaders;Sep2014, Vol. 51 Issue 9, p18 

    The article reports on the 13 percent decline of business owners who conduct regular audits of their security protocol and are deprioritizing information security and destruction, according to the annual Security Tracker survey conducted by Ipsos Reid.

  • Reader Feedback. CASKANETTE, PHIL; TANEJA, SHALINDER; BOWER, DAVID; GRIFFITHS, DAVID; FOWLER, RICHARD // Internal Auditor;Feb2015, Vol. 72 Issue 1, p9 

    Several letters to the editor are presented in response to articles in previous issues including "Big Data Considerations" in the December 2014 issue, "Passion for the Profession" in the October 2014 issue, and the blog post "The State of Information Security and Cyber."

  • CAT's Long and Winding Road. D'Antona Jr., John // Traders Magazine;Mar2012, Vol. 25 Issue 334, p20 

    The article reports that the U.S. Securities and Exchange Commission (SEC) is expected to approve a consolidated audit trail (CAT). Topics discussed include the need for collaboration among self-regulatory organizations (SROs), stock exchanges and brokers for the creation of the CAT, regulators'...

  • Four steps to shed light on the information governance black hole and optimize for easier e-discovery, part 1. Frazier, Jake // Inside Counsel (SyndiGate Media Inc.);8/7/2015, p1 

    The article offers suggestions on how to tackle information governance effectively in corporations. It discusses the need of legal department in the projects associated with information governance especially in the investigations by Securities and Exchange Commission. It offers tips to manage...

  • OUT IN FRONT AT BROKER'S BACK OFFICE. Messina, Judith // Crain's New York Business;10/1/2007, Vol. 23 Issue 40, pW28 

    The article reports on Diane Schueneman, who is the head of global infrastructure solutions at Merrill Lynch & Co. She manages services, operations, technology and information security for the firm, which has net revenues of $35 billion. Schueneman is one of a handful of women in top technology...

  • Regulation SCI's Hidden Costs May Cause Sticker Shock. Daly, Rob // Tradersmagazine.com;11/20/2014, p5 

    The author shares his thoughts on the implications of the approval of the Regulation Systems Compliance and Integrity (Reg SCI) by the U.S. Securities and Exchange Commission in November 2014 for institutional investors. Issues raised include the cost of compliance to Reg SCI, the disadvantages...

  • Industry Questions Reg SCI's Effectiveness After SEC Vote. Daly, Rob // Tradersmagazine.com;11/20/2014, p4 

    The article discusses the concerns raised by investment market participants over the decision of the U.S. Securities and Exchange Commission (SEC) to approve the Regulation Systems Compliance and Integrity (Reg SCI) on November 20, 2014. An overview of the goals of Reg SCI is presented. It...

  • Designing Financial Information Systems for Auditability. Lockman, Abe; Minsky, Naftaly // Journal of Management Information Systems;Summer84, Vol. 1 Issue 1, p50 

    The auditing of results produced by computer-based Financial Information Systems requires that auditors be able to evaluate the internal controls of such systems. Because of the integrated nature of the components in current large systems, this has proven to be a quite formidable task. We...

Share

Read the Article

Courtesy of THE LIBRARY OF VIRGINIA

Sorry, but this item is not currently available from your library.

Try another library?
Sign out of this library

Other Topics