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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 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 […]