Business Continuity Planning/Cybersecurity

Beware: phishing campaign using FINRA execs

SRO warns of fraudulent e-mails purporting to be from FINRA and using e-mail addresses designed to look like they are those of FINRA execs

Current cybersecurity threat landscape detailed

Financial services will continue to be hit with the symptoms of the cyber threat, including ransomware, account takeovers, identity theft, and data breaches

Gensler defends disclosure-related rulemaking

The last two years have seen the SEC adopt rules providing investors with disclosures on emerging risks like climate control, cybersecurity and SPACs

FBI can help funds with cyber-attacks

'Our primary goal is to provide relief'

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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