The Master Guide to Building a Cybersecurity Policies and Procedures Manual for an SEC Registered Investment Advisor

In this video we will discuss the details what you need to include in your firm’s policy and procedures manual to make sure it will withstand an examination.

It is essential for SEC registered investment advisors to have a comprehensive cybersecurity policies and procedures manual in order to remain compliant with the latest cybersecurity regulation, known as 206(4)-9, released by the Securities and Exchange Commission.

Firms must ensure that their policies and procedures adequately address the risks associated with their business activities.

This includes protecting customer information, detecting unauthorized access or activity, responding to cyber threats, maintaining cyber-security controls and overall compliance with applicable law.