DSIO Cyber Alerts

Cybersecurity is a risk that the Division of Swap Dealer and Intermediary Oversight (DSIO) and CFTC take seriously.  We appreciate that Registrants also take cybersecurity seriously.  To facilitate a better dialogue with Registrants, DSIO has created an email inbox, [email protected] for reports and questions relating to cybersecurity.

Below are cybersecurity related resources:

DSIO Cybersecurity during Coronavirus (COVID-19) Alert March 19, 2020 link here:
https://www.cftc.gov/media/3666/DSIOCyberAlert031920/download

DSIO Advisory 14-21 Safeguarding Customer Information Regulation 160.30 Feb. 26, 2014 link here:
https://www.cftc.gov/sites/default/files/idc/groups/public/@lrlettergeneral/documents/letter/14-21.pdf

CFTC Enforcement FCM failure to diligently supervise IT provider exposed customer information to Cyber Attack, In the Matter of AMP Global Clearing LLC Feb. 12, 2018 link here:
https://www.cftc.gov/sites/default/files/idc/groups/public/@lrenforcementactions/documents/legalpleading/enfampglobalorder021218.pdf

NFA Updated Information Systems Security Program Interpretations March 11, 2019 Notice to Members link here:  https://www.nfa.futures.org/news/newsNotice.asp?ArticleID=5097

NFA Cybersecurity Guidance link here:  
https://www.cftc.gov/About/CFTCOrganization/NFACybersecurityGuidance083118

NFA Cyber Incident Notice Reporting System effective Apr. 1, 2019 link here: https://www.nfa.futures.org/news/newsNotice.asp?ArticleID=5097

SEC OCIE Cybersecurity Observations January 27, 2020 link here: https://www.sec.gov/report/ocie-cybersecurity-resiliency-observations

SEC OCIE Risk Alert Third Party Vendor Cloud Storage Nov. 7, 2019 link here: https://www.sec.gov/ocie/announcement/risk-alert-network-storage

FINRA Cybersecurity webpage link here: https://www.finra.org/rules-guidance/key-topics/cybersecurity#overview