SEC Reg SCI Systems Compliance
United States
1974
Consumer Protection
Key Obligations
- Design, implement, and maintain robust policies for system capacity, integrity, and security
- Conduct annual reviews and risk assessments of systems and controls
- Promptly report systems disruptions, compliance issues, and intrusions to the SEC
- Notify affected participants of material systems issues and remediation steps
- Maintain detailed books and records related to system performance and compliance
- Undergo independent third-party reviews every three years
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