Business Continuity Planning/Cybersecurity

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 business continuity planning (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 and cyber news, analysis, “best practices” tips, compliance P&Ps, templates, matrices and more.

SEC’s proposed cybersecurity rule for IAs

LATEST BUSINESS CONTINUITY / CYBERSECURITY COVERAGE

New, AI-charged cyber threats emerging

PF Latest News

Jennifer Banzaca -

19 hours ago

Artificial intelligence makes scams even harder to detect.

PF Latest News

Act quickly in case of fraud

Jennifer Banzaca -

19 hours ago

Three tips for the unthinkable.

Masked theif wearing all black steals computer secrets or commits identity theft on an office or home laptop computer. Cyper crimes concept.

Featured

Help clients avoid online scams

Carl Ayers -

October 10 2025

The fraudster persuaded Joe that the wired funds were necessary to 'secure' his account and that this was a standard part of the fraud prevention process

Broker-Dealers

Former employee triggers Reg S-P violation

Hugh Kennedy -

October 9 2025

Broker-dealer failed to establish and maintain a supervisory system "reasonably designed" to safeguard customer information

Aerial view of fire department firetrucks extinguishing wildfire burning severely in Florida jungle woods. Emergency service firemen trying to put down flames in forest.

IA Compliance Toolbox

Example of an incident response plan

Carl Ayers -

October 2 2025

Grab some ideas for your plan from this example of an incident response plan contributed by a peer

Software development. System engineer. Programming. Digital transformation.

Featured

Lessons abound in alleged IT fraud

Carl Ayers -

September 19 2025

"Tying a programmer’s compensation to IT investment models that he could manipulate may have allegedly proven too tempting for an RIA’s computer wiz to secretly tweak them so as to award himself millions of dollars in unearned bonuses"