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: 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. […]

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 […]

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 Cybersecurity Initiative, #6 in the SEC cybersecurity guidance clearly states that business continuity planning is a priority. Here’s what the SEC Cybersecurity Guidance says: “Please provide a copy of the Firm’s written business continuity of […]