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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.

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 […]