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Category: Cybersecurity Guidance for RIAs

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.

SEC Cybersecurity Guidance: Data Loss Prevention

Nov 15, 2020 by Kate Bowie
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 […]
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SEC Cybersecurity Guidance: Incident Response

Nov 13, 2020 by Kate Bowie
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. […]
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SEC Cybersecurity Guidance: Client Cybersecurity

Nov 04, 2020 by Josh Ablett
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. […]
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SEC Cybersecurity Guidance: Business Continuity Planning (Pt. 2)

Nov 03, 2020 by Kate Bowie
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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SEC Cybersecurity Guidance: Business Continuity Planning (Pt.1)

Nov 01, 2020 by Kate Bowie
If you’ve come to this site, you’re probably doing some research about SEC Cybersecurity Guidance. As part of the OCIE Cy/bersecurity Initiative, #6 in the SEC cybersecurity guidance clearly states that business continuity planning is a priority. For personalized support and expert advice, reach out and schedule a consultation. We're here to support. Here’s what […]
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