Tag: SEC cybersecurity rule
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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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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