SEC Cybersecurity Guidance: Client Cybersecurity

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: Incident Response

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. [...]

SEC Cybersecurity Guidance: Data Loss Prevention

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 [...]

SEC Cybersecurity Guidance: Mobile Device Management

Protecting Your Business’ Most Sensitive Mobile Data Gone are the days of the rotary phone.  Data is immensely portable.  As we — individuals, consumers, corporate employees, investment advisors and financial investors — continue to rely on our mobile devices for everything, the level and amount of sensitive data that is stored on our mobile devices [...]

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

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 [...]

SEC Cybersecurity Guidance: Business Continuity Planning (Pt.1)

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 [...]