Cybersecurity Program For RIAs
In recent Compliance Outreach Seminars, SEC examiners have announced that they will be scrutinizing investment advisers’ efforts to protect their clients’ sensitive information from cyber threats. State examiners have also started questioning investment advisers about their efforts to implement cybersecurity compliance measures. Because regulators have made cybersecurity policy a high priority, investment advisers must be prepared to demonstrate what steps they have taken to fulfill their obligations in this area.
Designed for use by small and mid size investment advisers, RIA Compliance Group’s Cybersecurity Readiness Program can help investment advisers get ready for the inevitable questions from examiners regarding their efforts to protect clients from cyber attacks. Priced at $599, the Cybersecurity Readiness Program is provided as an easily customizable Microsoft® Word template and can be adopted without the assistance of a securities attorney or Cyber Security compliance consulting firm.
Our all-inclusive price includes:
- Cybersecurity Policies and Procedures Template
- Cybersecurity Risk Assessment
- Cybersecurity Incident Response Plan
- Written Information Security Program
- Identity Theft Program
- IT Inventory List
- Privacy Policy Review
- Information Security Task List
- Identity Theft Red Flags
- Disaster Recovery Plan Review
For a limited time, you can also purchase the Cybersecurity Readiness Program along with a one hour compliance consulting session for $799.
SEC NEWS
SEC NEWS
- SEC Shuts Down WeedGenics $60 Million Cannabis Offering Fraudon May 23, 2023 at 5:30 pm
The Securities and Exchange Commission obtained an emergency order to halt an alleged ongoing offering fraud and Ponzi-like scheme by Integrated National Resources Inc. (INR), which does business as WeedGenics, and its owners, Rolf Max Hirschmann […]
- Mellissa Campbell Duru Named Division of Corporation Finance’s Deputy Director for Legal and Regulatory Policyon May 19, 2023 at 3:30 pm
The Securities and Exchange Commission today announced that Mellissa Campbell Duru has been named Deputy Director for Legal and Regulatory Policy in the Division of Corporation Finance. Ms. Duru most recently was a Special Counsel at Covington […]
- SEC Proposes Rule Amendments and New Rule to Improve Risk Management and Resilience of Covered Clearing Agencieson May 17, 2023 at 4:00 pm
The Securities and Exchange Commission today proposed rule changes that would improve the resilience and recovery and wind-down planning of covered clearing agencies. The proposal would amend the existing rules regarding intraday margin and the use […]
- SEC Charges 10 Microcap Companies with Securities Offering Registration Violationson May 16, 2023 at 11:45 am
The Securities and Exchange Commission today announced charges against 10 microcap companies for offering and selling securities in unregistered offerings that failed to comply with Regulation A, which provides a limited exemption from registration […]
- SEC Charges Red Rock Secured, Three Executives in Fraud Scheme Targeting Retirement Accountson May 15, 2023 at 4:00 pm
The Securities and Exchange Commission today announced charges against El Segundo, California-based Red Rock Secured LLC, its CEO, Sean Kelly, and two of its former Senior Account Executives, Anthony Spencer and Jeffrey Ward, in connection with a…
DIVISION OF INVESTMENT MANAGEMENT NEWS
- Annoucement: Updates to Proxy Rules and Schedules 14A/14Con May 30, 2023 at 2:31 pm
Proxy Rules and Schedules 14A/14C
- Manipulative and Deceptive Devices and Contrivances: Section 120, Rule 10b5-1on May 25, 2023 at 9:00 pm
Question 120.28
- Manipulative and Deceptive Devices and Contrivances: Section 120, Rule 10b5-1on May 25, 2023 at 9:00 pm
Question 120.27
- Manipulative and Deceptive Devices and Contrivances: Section 120, Rule 10b5-1on May 25, 2023 at 9:00 pm
Question 120.26
- Certain Broker-Dealer Practiceson May 12, 2023 at 9:00 pm
Order Under Rules 262(b)(2), 506(d)(2)(ii), and 602(e) of the Securities Act OF 1933 and Rule 503(b)(2) of Regulation Crowdfunding Granting Waivers of the Disqualification Provisions of Rules 262(a)(4), 506(d)(1)(iv), AND 602(c)(3) of the Securities […]