Brian Hahn, outlines a comprehensive approach for Registered Investment Advisers (RIAs) to build SEC-ready cybersecurity compliance programs, even from a starting point with no existing documentation or technical operations.
He breaks down the process into two core areas: the operational framework, focused on identifying and protecting client data and assets by understanding how employees interact with this sensitive information and where it resides across various systems and locations, including remote work environments; and the compliance framework, which aligns with regulatory expectations, with a strong recommendation to follow the proposed 2064-9 regulation as the current highest standard.
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