Category: Recorded Events and Webinars

For Registered Investment Advisers (RIAs) and the professionals supporting them, understanding the evolving landscape of cybersecurity compliance is increasingly vital.

A recent SEC examination notice sent to an RIA provides significant insight into the specific types of information and documentation the Commission is now requesting. This particular examination was notable for its heavy focus on cybersecurity materials, even being a routine audit rather than one prompted by a suspected breach. This level of detail signals a clear shift, moving from previous general guidance towards more specific cybersecurity regulation, particularly aligning with the proposed rule 206(4)-9.

Explore the critical risks associated with Bring Your Own Device (BYOD) policies for SEC registered firms that potentially expose sensitive data to cybercriminals.

Gain insights from an experienced ethical hacker, formerly a CCO and COO, who has conducted over 200 security audits and penetration tests specifically targeting such firms.