Self-Audits, Mock Audits and Assessments: Are You Prepared for a Regulatory Investigation?

摘要

July 1, certain North American Electric Reliability Corp. (NERC) requirements will be in the auditably compliant (AC) stage. Pre-identified companies subject to cybersecurity standards of the critical infrastructure protection (CIP) rules will be subject to spot-checks and audits, harkening investigations across companies, functions and requirements. Enforcement officials will monitor compliance. Upon discovery of possiblernviolations, they will launch investigations and possibly formal notices of violation. Our experience helping clients with regulatory compliance points to three ways a market participant can prepare for upcoming regulatory checks: self-audits,rnmock audits and assessments.