Business Continuity Planning/Cybersecurity

Lock as symbol for privacy and general data protection.

Strategies to boost your cybersecurity program

Lessons from a real-world cyber event, plus guidance to help protect your firm

AML: Don’t neglect reporting of cyber events

Over a three-year period, firm experienced five cyber events but didn't file SARs

Cybercrime’s ‘barriers have come down’

Six tips for staying ahead of the cyber-baddies

Cybersecurity P&Ps

This P&P comes courtesy of Craig Watanabe, director of IA compliance at DFPG Investments in Sandy, Utah

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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