Business Continuity Planning/Cybersecurity

California wildfires prompt reg relief

Broker-Dealers

January 30 2025

The relief touches on such areas as emergency office relocations, regulatory filings, fees, customer communications, examination windows, and more

Stock photo of a mature man working in his home office. He’s studying a large computer monitor displaying a variety of numerical data, global information & text.

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Cybersecurity: Know your partners’ partners

Carl Ayers -

January 24 2025

You can aspire to do all the right things when it comes to cybersecurity, and your vendors may do so as well. Yet trouble can occur because your vendor’s vendor messed up

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Compliance tips to prepare for privacy changes

Carl Ayers -

January 17 2025

Assuming an SEC rule change to the more than two-decades old Reg S-P comes to fruition, you have lots of time to prepare but also lots to do

Changes Coming in 2025 written on a blackboard

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Reg S-P and other revised rules

Carl Ayers -

January 17 2025

When the SEC finalized its changes to Reg S-P last year, it also tweaked other securities rules to fall in line with the enhanced privacy measures. Here’s a recap of these rule changes

About this page

The SEC is on the record: a firm’s compliance P&Ps should cover business continuity plans. How you address the critical issue of your firm’s BCP, however, is for the most part up to you. Your cybersecurity approach also dovetails with your BCP. In this collection you can find our continuously updated BCP/Cyber news, analysis, “best practices” tips, compliance P&Ps, templates, matrices and more.

SEC’s proposed cybersecurity rule for IAs