Category: Compliance
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Securing Microsoft OneDrive: AGRC-Focused Approach toAccess Control
Access control isn’t just a technical requirement—it’s the cornerstone of cybersecurity, especially for organizations managing sensitive financial and client data. For firms using Microsoft OneDrive within their Microsoft 365 environment, proper access controls are more than just best practices—they’re essential for meeting regulatory requirements and avoiding data breaches, compliance failures, or reputational damage. Industries governed… Read more
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A Comprehensive Roadmap for Data-Centric IT Risk Management in Financial Services
Data has become the lifeblood of the financial industry, particularly for investment advisers, broker-dealers, and investment companies. Managing IT risks associated with data is not just a regulatory necessity; it’s a fundamental component of maintaining client trust and ensuring operational resilience. This article provides a detailed roadmap to build and execute a data-centric IT risk… Read more
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Essential Cybersecurity Policies for Investment Advisers: Protect Your Firm and Build Client Trust
With cyber threats intensifying across industries, investment advisers face unique vulnerabilities that can compromise sensitive client information, disrupt operations, and damage reputation. The stakes are particularly high in the financial sector, where cybersecurity threats directly impact client trust and regulatory compliance. The 2025 SEC Examination Priorities make it clear: cybersecurity, client data protection, and operational… Read more
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Understanding the SEC’s Proposed Cybersecurity Rule for Investment Advisers and Registered Investment Companies
The U.S. Securities and Exchange Commission (SEC) has proposed a significant cybersecurity rule (Release No. 33-11028) aimed at registered investment advisers (RIAs), investment companies, and business development companies. This proposed rule underscores the increasing focus on cybersecurity risk management in the financial sector and introduces new requirements for firms to strengthen their cybersecurity posture. The… Read more
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Understanding the SEC’s Proposed Cybersecurity Rule for Broker-Dealers and Other Entities
The U.S. Securities and Exchange Commission (SEC) has introduced a proposed rule (Release No. 34-97142) aimed at strengthening the cybersecurity framework for broker-dealers, clearing agencies, and other regulated entities. The rule addresses increasing cybersecurity risks by requiring organizations to implement formal cybersecurity risk management policies and procedures, report incidents, and disclose cybersecurity risks and incidents… Read more
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Understanding the Difference Between the NIST Risk Management Framework (RMF) and NIST Cybersecurity Framework (CSF) and Adoption Guidance for Financial Advisor Firms
In an era where financial firms, including registered investment advisors (RIAs), must comply with stringent cybersecurity regulations, understanding effective cybersecurity frameworks is crucial. Two of the most widely recognized frameworks for managing cybersecurity risks are the NIST Risk Management Framework (RMF) and the NIST Cybersecurity Framework (CSF). While both frameworks originate from the National Institute… Read more
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Essential Cybersecurity Considerations for Financial Advisors in Compliance Manuals
In today’s digital age, financial advisors and registered investment advisors (RIAs) are increasingly targeted by cybercriminals seeking to exploit sensitive client data. As a result, robust cybersecurity measures are no longer optional—they are required by law and industry regulations. Integrating comprehensive cybersecurity policies into a compliance manual is essential for financial advisors to safeguard client… Read more