Business Continuity Planning/Cybersecurity

Case reflects need for ‘proactive compliance’

Firms recommended to proactively think about the intersection between business and technologies

Cybersecurity P&Ps

A peer shares the firm's new cybersecurity policies and procedures

Cybersecurity Roles and Responsibilities

Mario Hernandez, CFP®, director of operations at Gemmer Asset Management in Walnut Creek, Calif., shares his firm's cyber P&P related to employee security roles.

When striving for strong cybersecurity P&Ps be sure to keep them achievable

It may well be wise for advisers – especially smaller firms – to collapse their cybersecurity P&Ps into a broader policy

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




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