Business Continuity Planning/Cybersecurity

Get fortified against cyber risks

Broker-Dealers
-
FINRA and CISA extended a warning to all firms using Fortinet's FortiManager
Read more
Man wearing balaclava and holding credit card while using laptop at desk
Featured

Cybersecurity tips to stymie bad actors

-
A client asked his adviser to transfer $500,000 to an escrow account for a real estate transaction. If it weren’t for a staffer’s keen eye, that money would have gone to a cyber-criminal
Broker-Dealers

FINRA issues back-to-back cyber alerts

-
Phishing campaigns employing the tactic of impersonating FINRA execs and ongoing threats from Iranian cyber actors are the subjects of new alerts
Hester Peirce, SEC Commissioner
IA Speeches

SEC Commissioners Peirce, Uyeda dissect their peers’ cyber enforcement actions

-
"The Commission needs to start treating companies subject to cyberattacks as victims of a crime, rather than perpetrators of one"

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

THE LATEST

COMPLIANCE TOOLBOX

© PEI Group
rcw
rcw

Copyright PEI Media

Not for publication, email or dissemination