Securing Compliance:

An Extensive Archive of SEC Examination Information Requests Lists for Cybersecurity Documentation

This is the stuff the SEC is going to request during an examination.

Enhance Compliance and Preparedness: An Insider’s Guide to SEC Documentation Requests for Registered Investment Advisors

Discover the keys to compliance and preparedness with this essential archive of SEC documentation requests for registered investment advisors (RIAs).

Part 1 unveils a comprehensive Examination Information Request List, recently sent to an RIA. Gain valuable insights into the specific documentation the SEC requires and proactively build your cybersecurity safeguards. Meet regulatory requirements and showcase your dedication to protecting client data and maintaining operational integrity.

In Part 2, explore a vast archive of diverse requests gathered from multiple Examination Information Request Lists. Assess the effectiveness of your Managed Service Provider (MSP) or cybersecurity team by asking yourself, “Could we provide this documentation if the SEC conducted an examination today?” Ensure your third-party service providers fulfill their responsibilities and actively protect your business interests.

Stay one step ahead in the world of investment advising. Dive into this authoritative resource and empower your firm with the knowledge and tools needed to excel.