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
- Activision Blizzard to Pay $35 Million for Failing to Maintain Disclosure Controls Related to Complaints of Workplace Misconduct and Violating...on February 3, 2023 at 12:39 pm
The Securities and Exchange Commission today announced that Activision Blizzard Inc., a video game development and publishing company, agreed to pay $35 million to settle charges that it failed to maintain disclosure controls and procedures to […]
- SEC Publishes Annual Staff Report on Nationally Recognized Statistical Rating Organizationson February 2, 2023 at 3:16 pm
The Securities and Exchange Commission today published a staff report that provides a summary of the staff’s examinations of nationally recognized statistical rating organizations (NRSROs) and discusses the state of competition, transparency, […]
- Small Business Advisory Committee to Host Meeting to Discuss Alternatives to Traditional Private Company Financing, Private Fund Reforms, and Public...on January 31, 2023 at 5:00 pm
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Tuesday, Feb. 7. The Committee will discuss alternative approaches to private company financing, the […]
- SEC Proposes Updates to Ethics Rules Governing Securities Trading by Personnelon January 30, 2023 at 8:45 pm
The Securities and Exchange Commission today proposed amendments to its ethics rules to strengthen and modernize its ethics compliance program. The amendments would add new requirements and prohibitions to the program, which already includes some of […]
- Silvestre Fontes Named Director of Boston Regional Officeon January 25, 2023 at 6:00 pm
The Securities and Exchange Commission today announced that Silvestre A. Fontes has been named Regional Director of the Boston office, starting next week.John Dugan and Kevin Kelcourse, who have served as Acting Co-Regional Directors, will remain […]
DIVISION OF INVESTMENT MANAGEMENT NEWS
- Annoucement: Updates to Proxy Rules and Schedules 14A/14Con February 3, 2023 at 4:20 pm
Proxy Rules and Schedules 14A/14C
- Exchange Act Forms, Section 110. Form 20-Fon January 31, 2023 at 9:00 pm
Question 112.04
- Exchange Act Forms, Section 104. Form 10-kon January 31, 2023 at 9:00 pm
Question 104.19
- Exchange Act Forms, Section 110. Form 40-Fon January 31, 2023 at 9:00 pm
Question 110.09
- Exchange Act Forms, Section 104. Form 10-Kon January 31, 2023 at 9:00 pm
Question 104.19