Resources

Cybersecurity 101 for Registered Investment Advisors

As a registered investment advisor, you may feel bombarded daily with information regarding cybersecurity. With breaches occurring equally as often, it’s vital to have a good understanding of not only the threat landscape, but also your risks and how you can realistically protect your business.

As the number of breaches and threats against financial services firms continues to climb, the cybersecurity Examination Initiative was designed to build on OCIE’s previous examinations in this area and further assess cybersecurity preparedness in the securities industry, including firms’ ability to protect broker-dealer customer and investment adviser clients. With the emergence of this new guidance, we’ll focus on what the regulators are really looking for and boil it down to the essentials of a basic layered security approach. You’ll gain a better understanding of how to enhance your current cybersecurity programs and more practical guidance on where to start.

During this complimentary webinar, we will cover:

  • Highlights of the SEC issued guidance – why now and how to prepare,
  • Understanding of the current state of cybersecurity for RIAs,
  • Regulatory and business risks your need to be assessing,
  • Practical tips on cybersecurity controls,
  • Quick wins you can implement today,
  • And more!

So, if you don’t have cybersecurity policies in place, or are just looking for ways to revamp and better understand your current programs, download the webinar to listen as we walk you through ways for you to better protect your business while remaining compliant with the SEC.

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