What We Do
How we do it
Resources
SECURITY ADVISORIES
May 11, 2022
CVE-2022-26923 - Active Directory Domain Services Elevation of Privilege Vulnerability
THE THREAT Microsoft has disclosed a new vulnerability impacting Active Directory Certificate Services (ADCS) tracked as CVE-2022-26923 (Active Directory Domain Services Elevation of Privilege Vulnerability). If exploited successfully, an authenticated attacker can escalate privileges in environments where ADCS is running on the domain. eSentire is aware of technical details and tooling [2] for…
Read More
View all Advisories →
Company
ABOUT ESENTIRE
About Us
eSentire is The Authority in Managed Detection and Response Services, protecting the critical data and applications of 1200+ organizations in 75+ countries from known and unknown cyber threats. Founded in 2001, the company’s mission is to hunt, investigate and stop cyber threats before they become business disrupting events.
Read about how we got here
Leadership Work at eSentire
LATEST PRESS RELEASE
May 17, 2022
Cybersecurity Leader eSentire Continues Its Commitment to Rigorous Security Standards Earning PCI DSS Certification
Waterloo, ON, May 17, 2022 — eSentire, the Authority in Managed Detection and Response (MDR), maintains one of the most secure and robust IT environments of any MDR provider in the industry. To that end, eSentire today announced that it has received the Payment Card Industry Data Security Standard (PCI DSS) certification, considered one of the most stringent and comprehensive payment card…
Read More
Partners
PARTNER PROGRAM
e3 Ecosystem
We provide sophisticated cybersecurity solutions for Managed Security Service Providers (MSSPs), Managed Service Providers (MSPs), and Value-Added Resellers (VARs). Find out why you should partner with eSentire, the Authority in Managed Detection and Response, today.
Learn more
ECOSYSTEM PARTNER RESOURCES
Apply to become an e3 ecosystem partner with eSentire, the Authority in Managed Detection and Response.
Login to the Partner Portal for resources and content for current partners.
Search
Resources
Blog — Feb 11, 2015

OCIE-SEC and FINRA release groundbreaking cybersecurity guidance reports

Speak With A Security Expert Now

The Office of Compliance Inspections and Examinations (OCIE) Securities and Exchange Commission (SEC), has released its hotly anticipated examination sweep summary results. The report summarizes the responses gathered from 100+ registered broker-dealers and investment advisors, as part of an initial fact-finding mission. The 28-point questionnaire was widely regarded as the first step toward the introduction and implementation of an industry-wide Cybersecurity Examination Initiative.

As previously reported, the OCIE-SEC will proceed with in-depth, independent testing not only in the U.S., but abroad. Testing is expected to delve deeper into areas evaluated through the initial 28-point questionnaire. The investigative phase was designed to give the SEC a better understanding of overall industry preparedness when it comes to cybersecurity.

Collectively, questions focused on the examined firms’ overall comprehension of the data they own, legislation that may regulate that data, existing cybersecurity risks and how they’re defending against those risks.

The findings promisingly highlight that a large number of participating firms have developed written security policies (93% of broker-dealers and 83% of advisors).

Results also indicate that a number of respondents have introduced proactive measures that include conducting regular risk assessments (93% of broker-dealers, 79% of advisors) and employing cybersecurity insurance (58% of broker-dealers, 21% of advisors).

Interestingly enough, industry regulatory authority FINRA (The Financial Industry Regulatory Authority) has also released an indispensable tool, dubbed the Report on Cybersecurity Practices (released February 2015).

As the SEC announced its Cybersecurity Examination Initiative in 2014, FINRA launched a targeted examination sweep to (similarly) gain an understanding of threats and vulnerabilities facing the industry today. The sweep was part of an ongoing FINRA cybersecurity initiative, which initially kicked off in 2007. FINRA’s extensive report details observations and findings that provide firms with incredible insight into key priorities as they work to strengthen their cybersecurity posture.

FINRA’s report groups its findings under several headings. Those include:

• Cybersecurity governance and risk management
• Cybersecurity risk assessment
• Technical controls
• Incident response planning
• Vendor management
• Staff training
• Cyber intelligence and information sharing
• Cyber insurance

FINRA describes the report as ‘an approach to cybersecurity grounded in risk management’, something that we at eSentire respect and staunchly promote.

Together, these two reports highlight the complexity of an industry undergoing radical change to confront evolving cybersecurity risks. Firms participating in these exams and fact-finding interviews are blazing a trail for the industry not just on a national platform - but also on a global stage. There’s no question that cyber threats will continue to pose significant risk to the industry. And while the ramifications from regulatory intervention may seem daunting, the resources developed as a result are critical tools that will help to defend the industry from cyber risk.

View Most Recent Blogs
Eldon Sprickerhoff
Eldon Sprickerhoff Founder and Chief Innovation Officer
In founding eSentire, Eldon Sprickerhoff responded to the incipient yet rapidly growing demand for a more proactive approach to preventing and investigating information security breaches. Now with over twenty years of tactical experience, he is acknowledged as a subject matter expert in information security analysis.