Cybersecurity

This document request letter comes from a 2022 DOE exam

This comes courtesy of Jacko Law Group/Core Compliance & Legal Services in San Diego

A peer shares a due diligence questionnaire to share with potential IT vendors

If the disclosure requirement strikes you that advisers could lose clients who fear their adviser’s cyber defenses don’t measure up, know the SEC recognizes this ...

This is the SEC's proposed new rule that would require advisers to report cybersecurity incidents via new proposed Form ADV-C

This is the SEC's proposal for a cybersecurity rule for investment advisers

This is the SEC's proposed cybersecurity rule directed at registered funds

The Commission approved new rules under the Advisers and Investment Company acts and would create new Form ADV-C for firms to electronically report within 48 ...

"the proposal would require regulatory reporting of any significant cybersecurity incidents to the Commission within 48 hours, and prompt notification to investors"

"Funds and their advisers, because of the data they store and manage, are enticing targets for such activity which can cause serious investor and market ...