Business Continuity Planning/Cybersecurity

Form for use of a non-provided e-device

IA Compliance Toolbox
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This form, courtesy of Ben Anderson, principal with Anderson PLC in Minneapolis, could be used for staff to seek permission to use their personal devices for work activities
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BD Latest News

FINRA highlights new cybersecurity advisory

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New report offers an overview of one of the most active forms of ransomware in 2023 and recommends mitigation techniques
Man is writing succession planning in the book.
Investment Advisers

Succession planning: Lessons from the front lines

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A common mistake advisers make is 'they don’t think about the short-term succession plan.' Plans should be prepared to handle short-, medium- and long-term succession
PF Latest News

EXCLUSIVE: SEC launches artificial intelligence sweep

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Examiners seek lists of employees, execs, board members with cyber responsibilities

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

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