Are you a Registered Investment Adviser (RIA) or involved in supporting the RIA space and finding the landscape of cybersecurity compliance increasingly challenging? With new regulations on the horizon, understanding and implementing robust security measures is no longer optional – it’s becoming a strict regulatory requirement. To help navigate this complex environment and prepare for the upcoming SEC 206(4)-9 regulations.
In this insightful session, Brian delves into the operational and compliance challenges posed by the proposed 206(4)-9 rule and discusses tangible solutions. He provides a framework for building a comprehensive cybersecurity program, emphasizing the need for detailed policies and procedures, conducting thorough risk and threat assessments (including vendors), documenting user access rights, and implementing threat and vulnerability management. The discussion also covers the crucial element of mandatory employee security awareness training, as well as the importance of maintaining proper cyber record keeping and developing a cyber response and recovery plan.
You will need a subscription to access this page.
Sign Up Here.
Already a member? Sign in below:
Sign In Here.
