Tag: Cybersecurity for financial advisors
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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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Ignoring Regulation S-ID Risks Your Clients’ Data- AND Trust
In today’s increasingly digital world, investment advisers and securities professionals are facing relentless challenges from cyberattacks, data breaches, and identity theft attempts. The sensitive information entrusted to you by your clients isn’t just another asset—it’s the lifeblood of your business. Failing to protect it could result in catastrophic consequences, from the collapse of client trust… 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