by Ara Jabrayan | Sep 28, 2021 | Cybersecurity, Investment Adviser Representative, Investment Advisers Act, Registered Investment Advisers (RIAs), Regulation S-P, RIA Compliance, RIA Compliance Policies, Safeguards Rule, SEC Cybersecurity, Uncategorized
Rule 30(a) of Regulation S-P, better known as the Safeguards Rule, requires firms to adopt written policies and procedures to address the administrative, technical, and physical safeguards that are necessary to protect customer records and information. On August 30,...
by Ara Jabrayan | Sep 19, 2019 | Cyberattack, Cybersecurity, Regulation S-P, RIA Compliance, State Investment Adviser Compliance
As you may know, cyberattacks on an organization’s data information systems have been increasing at exponential rates throughout every industry. The financial services industry is increasingly victim to these crimes due to the proximity to investment capital and...
by Ara Jabrayan | Aug 22, 2019 | Investment Adviser Representative, Office of Compliance Inspections and Examinations (OCIE), Regulation S-P, RIA Compliance, RIA Compliance Policies, SEC Cybersecurity, SEC Investment Adviser Compliance, State Investment Adviser Compliance
On April 16, 2019, the SEC’s Office of Compliance Inspections and Examinations (OCIE) published a Risk Alert dealing with Regulation S-P, which is the Commission’s primary rule governing privacy notices and the safeguarding policies of Registered...
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