25 SEC Information Security Program Policies

For easy configuration, each policy comes with a standard Docx Template. Moreover, a questionnaire accompanies each policy to extract necessary information and stimulate critical thinking for the team to meet the policy requirements.

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November 20th, 2023 Updated

The 8-K Filing: Navigating Disclosure Requirements During a Breach

In the wake of a cybersecurity incident, public companies in the U.S. face not only the immediate challenges of containment and remediation but also a myriad of regulatory and disclosure obligations. One such requirement is the filing of a Form 8-K with the U.S. Securities and Exchange Commission

Breached CompanyBreached Company

SEC Compliance and Integrity Policy: Ensuring overall adherence to SEC regulations, focusing on integrity in financial reporting and internal controls.

Insider Trading and Securities Compliance Policy: Establishing rules to prevent and monitor illegal insider trading and to report transactions in line with SEC regulations.

Financial Reporting Accuracy Policy: Implementing controls for accurate, complete, and timely financial reporting, complying with SEC requirements.

Disclosure and Transparency Policy: Developing robust disclosure controls to ensure material company information is correctly disclosed.

Fair Public Communication and Social Media Policy: Regulating public communications, including social media, to comply with SEC disclosure rules and Reg FD.

Record Retention and Management Policy: Outlining specific requirements for record retention, ensuring compliance with SEC regulations.

Corporate Governance and Ethics Policy: Establishing guidelines for corporate governance practices, including board responsibilities, ethical conduct, and alignment with SEC regulations.
Whistleblower Protection Policy: Safeguarding whistleblowers under the SEC’s program, encouraging reporting of violations of securities laws.

Investor Relations and Engagement Policy: Standardizing communications with investors to ensure consistency, transparency, and compliance with SEC regulations.

Cybersecurity Risk and Incident Disclosure Policy: Outlining procedures for disclosing cybersecurity risks and incidents as per SEC guidance.

Audit Committee Oversight Policy: Defining roles and responsibilities of the audit committee, including oversight of financial reporting and compliance with SEC requirements.

Internal Controls over Financial Reporting (ICFR) Policy: Ensuring effective internal controls over financial reporting in compliance with SOX.

Material Information Management Policy: Setting procedures for managing and disclosing material information in compliance with SEC rules.

Regulatory Filing and Reporting Policy: Ensuring timely and accurate submission of all required regulatory filings to the SEC.

Compliance with Sarbanes-Oxley Act (SOX) Policy: Adhering to SOX regulations, particularly focusing on management and auditors’ responsibilities.

Securities Trading and Blackout Policy: Guidelines for trading in the company's securities, blackout periods, and pre-clearance procedures.

Executive Compensation and Disclosure Policy: Transparent and accurate disclosure of executive compensation as per SEC requirements.

Related Party Transactions Disclosure Policy: Identifying, monitoring, and disclosing related party transactions in line with SEC regulations.

Proxy Statement and Shareholder Communication Policy: Procedures for proxy statement preparation and shareholder communication that meet SEC standards.

Regulation S-K Compliance Policy: Adhering to Regulation S-K for non-financial statement disclosures in SEC filings.

Investment Advisory and Broker-Dealer Compliance Policy: For firms offering advisory services or broker-dealer operations, ensuring compliance with relevant SEC rules and FINRA regulations.

Market Conduct and Anti-Manipulation Policy: Policies addressing market conduct, anti-money laundering, and prevention of market manipulation.

Emergency and Contingency Planning Policy: Developing emergency operation plans, including contingency planning for significant disruptions.

Data Protection and Privacy Policy (SEC Focus): Protecting financial and investor data, ensuring privacy and security as per SEC guidance.

Risk Assessment and Compliance Monitoring Policy: Identifying, assessing, and managing risks related to SEC compliance and monitoring adherence to these policies.

The 8-K Filing in the Crosshairs of Compliance and Fines

When a publicly traded company in the U.S. faces a significant cybersecurity incident, the immediate aftermath involves a whirlwind of containment, remediation, and communication efforts. Central to this is the Form 8-K filing with the U.S. Securities and Exchange Commission (SEC). But beyond the 8-…

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