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RIA Cybersecurity: Prepare for New SEC Cybersecurity Requirements (2023)

The SEC’s new cybersecurity requirements for registered investment advisers (RIAs) will soon mandate firms to develop robust policies, report incidents, and disclose risks in their marketing materials. To prepare, RIAs should implement comprehensive cybersecurity policies, conduct risk assessments, establish clear disclosure procedures, ensure continuity planning, and maintain thorough documentation to comply with the upcoming regulations and enhance their cybersecurity posture.

What is Governance, Risk, and Compliance?

Governance, risk management, and compliance (GRC) frameworks help financial services firms align their operations with strategic goals, manage risks, and ensure compliance with regulations. By integrating governance policies, risk management, and compliance programs, firms can improve efficiency, enhance decision-making, and strengthen their reputation while adapting to regulatory changes and mitigating risks.

Financial Services Compliance: What to Know in 2023

As cyberattacks increase, financial services firms must strengthen their security measures and adhere to a growing set of regulations, including FINRA, SEC, and SOX, to avoid severe repercussions like fines and reputational damage. Effective compliance requires comprehensive platforms, specialized advisory services, and ongoing adaptation to evolving regulations to mitigate risks and ensure operational integrity.

Cybersecurity Threats Faced by Broker-Dealer FINRA Firms

Cybersecurity for Broker-Dealer Firms

As a broker-dealer firm executive, you know that one of FINRA’s key mandates is to help prevent cyberattacks against its regulated firms. The Financial Industry Regulatory Authority, or FINRA, is, of course, a not-for-profit regulatory organization authorized by Congress to protect investors and ensure market integrity in the United States. This post will explore some […]

Security and Compliance for Financial Services While Scaling Up

security and compliance for financial services

From operational processes to security challenges and regulatory uncertainty, the financial services sector has very specific IT requirements. Whether you are interested in scaling vertically or horizontally, simply maintaining secure document management and compliant levels of access for employees can be difficult. Managing complex financial services workflows and meticulous processes requires intensely powerful technology, which […]

Business Continuity Checklist for Financial Services Firms

Business Resiliency and Disaster Recovery (DR) are critical for any organization, but these activities are particularly vital for financial services firms. Sensitive data and compliance requirements create additional pressures to safeguard systems and ensure data recoverability. Furthermore, the reputational damage caused by data loss or an extended outage can be catastrophic. In today’s uncertain atmosphere, […]

Identifying Common Financial Services Vulnerabilities

Financial Services Vulnerabilities

Financial services institutions have long been a top target for cyber threats. Access to a large amount of sensitive and confidential information makes the financial sector a target-rich environment for cyberattacks. In addition to mitigating cybersecurity threats, financial firms must also prioritize maintaining and strengthening compliance. These balance of these two priorities presents a unique […]

SEC Signals New and Expanding Compliance Rules to Combat Cyber Crime

SEC Compliance Rule

Indicates significant changes to regulations for broker-dealers, investment companies, RIA, and other market agents. The SEC has been signaling the expansion of the compliance around cybersecurity for public financial firms for some time. Increased and intensified state-sanctioned cyber-attacks, data breaches, and ransomware have spotlighted the risk to the U.S. economy, its investment markets, and its […]

Watch Solving Cybersecurity for Financial Services On-demand Webinar

Solving Cybersecurity on-demand webinar

We get it. As executives and IT professionals, you are busy. To that end, we are debuting a new series of short on-demand webinars intended to answer the most commonplace requests we receive. These webinars are designed to connect your firm’s real-world problems with the solutions that address them. They are short and available on […]

What Does the BCP FINRA Rule 4370 Update Mean for Your Firm?

FINRA Rule 4370

The Financial Industry Regulatory Authority (FINRA) recently announced the completion of the review process for FINRA Rule 4370 and upholds the Rule as it currently stands. The agency put the Business Continuity Plan (BCP) Rule 4370 into place to ensure continuity of operations for broker-dealer firms following a disruption or disaster. FINRA based its decision […]