Category: SEC

Need cybersecurity help for your RIA firm? The U.S. Securities and Exchange Commission (SEC) has created a number of documents containing cybersecurity guidance and other topics such as social media, email/texting and phishing.

Because of our cybersecurity service for RIAs, we’ve been able to see first-hand where RIAs tend to struggle. Below you’ll find a number of topical guides that further explain the SEC’s cybersecurity guidance and offer options and recommendations.

RIA Cybersecurity Policy Checklist

RIAs commonly ask us for an "RIA cybersecurity policy template." Since wealth management firms vary so widely, we've found that it's challenging to create a one-size-fits-all template. Instead, we offer this Cybersecurity Policy Checklist for RIAs. This is designed to help you figure out what kinds of questions you need to answer in order to […]

As a company that works with investment advisors to improve their cybersecurity, the subject of SEC books and records retention requirements may seem a little odd. But it is a topic that comes up frequently with current clients and prospects. One area we like to focus on is cloud services security. Are your email accounts […]

Which cyberattacks could hurt your Registered Investment Advisor (RIA) Firm? The truth is, any and all cyberattacks could hurt your firm. So what can you do about it? Simply being aware is the first step, so let’s dive into the top 6 cyberattacks that could hurt or simply ruin your RIA firm. 1) RIA Cyberattacks: […]

Wire fraud is a huge problem for Registered Investment Advisors. Every day, criminals trick firms like yours into wiring funds out of client OR firm accounts. What is the SEC Cybersecurity Guidance on wire fraud? And what are the best practices to stop wire fraud in firms today? It’s critical that your staff identify these […]

As our work moves online and becomes more digital, our risks are changing. In recognition of this fact, registered investment advisors must take cybersecurity seriously. The SEC cybersecurity guidance lays out clear directions for taking cybersecurity risks seriously. And one of the biggest threats to your firm today is phishing. The SEC Cybersecurity Guidance seems […]

In our line of work, we hear a lot of myths and rumors. For example, some people say that Microsoft365 isn’t SEC compliant because it’s in the cloud. We have also heard some people saying the same about Google’s Google Workspace. But what does the SEC Cybersecurity Guidance say? For personalized support and expert advice, […]

As businesses are digitally transformed, our exposure to risk is changing. In the financial industry, the stakes are much higher. The SEC Cybersecurity Guidance helps registered investment advisors respond to these threats. It also makes sure that they have a plan in place to respond to them. For example, one such threat is the loss […]

When firms think about cybersecurity, they’re tempted to focus on the tech. Hopefully, you're already having internal conversations about which tools you need to fight phishing or to keep your mobile devices safe. One area where we've seen a lot of firms struggle, though, is in figuring out what to do when something BAD happens. […]

Cybercriminals are quite nimble in outsmarting protection measures. This makes it essential to be proactive and stay one step ahead of bad actors. The SEC Cybersecurity Guidance provides a lot of information about security and compliance. But it doesn’t specify what steps firms should take to teach their clients how to be safe online from cyber threats. […]

Welcome back to SEC Cybersecurity Guidance: Business Continuity Planning. The first steps (found here in Part 1) are: List your Specific Needs, and Discuss and Document... and here, in Part 2, we talk, and plan, and test. Disclaimer: we are STILL not lawyers. We are cybersecurity practitioners who work with a lot of registered investment […]

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Category: SEC

RIA Cybersecurity Policy Checklist

SEC Books & Records: Retention Requirements for Investment Advisers

RIA Cyberattacks: Top 6 that could ruin your firm

SEC Cybersecurity Guidance: Wire Fraud

SEC Cybersecurity Guidance: Phishing

SEC Cybersecurity Guidance: Emails and Texting

SEC Cybersecurity Guidance: Data Loss Prevention

SEC Cybersecurity Guidance: Incident Response

SEC Cybersecurity Guidance: Client Cybersecurity

SEC Cybersecurity Guidance: Business Continuity Planning (Pt. 2)

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