Information Systems: Opportunities Exist to Strengthen SEC's Oversight of Capacity and Security

Abstract

The various components of SECs ARP program provide it with a reasonable level of assurance that the SROs address capacity, security, and other information system issues. However, SECs ARP oversight could be improved. To plan and conduct inspections of SRO systems issues, ARP staff use various criteria, including checklists that are based on ARP policy statements and standards from guidance developed by other external audit organizations and information echnology bodies, such as banking regulators. However, we found that the ARP program has not consolidated these criteria into a single guide that covers all the issues key to SEC oversight or that provides the specific review steps.

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Document Details

Document Type
Technical Report
Publication Date
Jul 01, 2001
Accession Number
ADA395533

Entities

Organizations

  • United States Government Accountability Office

Tags

Communities of Interest

  • Cyber

DTIC Thesaurus Topics

  • Commerce
  • Computers
  • Contingency Operations (Military)
  • Control Systems
  • Corporations
  • Data Centers
  • Electronic Mail
  • Guidance
  • Information Systems
  • Inspection
  • Internet
  • Regulators
  • Risk
  • Risk Analysis
  • Security
  • Standards
  • United States

Readers

  • Defense Financial Management and Audit.
  • Internal Combustion Engine (ICE) Technology.
  • Military and Counterinsurgency Studies.