A Technical Guide to the SEC’s 206(4)-9 Proposed Cybersecurity Rules

On Feb. 9, 2022, the SEC voted to propose new cybersecurity requirements for investment advisers, investment companies and business development companies known as 206(4)-9.  

In this technical discussion, we will focus on the new cybersecurity books and records rules found in 206(4)-9 and then demonstrate several compliance operations that all CCOs should consider when tackling this new regulation for your firm.  

We will focus on tools and techniques that will simplify your cybersecurity compliance operations.

This is an educational webinar and not a pitch.   The webinar will be followed by a live Q&A session.   

For deeper reading, here are all 243 pages of the new cybersecurity requirements headed your way: 


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