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

Reduce AI risk: Build it yourself

Featured

Heather Ayers -

September 17 2026

"There's a lot of risk that has to be mitigated" when you use AI, says COO/CCO

Follow me to the Taj Mahal, India. Female tourist leading boyfriend to there magnificent famous Mausoleum in Agra. People travel concept

IA Compliance Toolbox

Template to help guide Reg S-P compliance

Heather Ayers -

September 1 2026

Use this template as a guide to craft your firm's compliance approach to Reg S-P, incident response and vendor oversight

Broker-Dealers

Over 60 ‘effective practices’ for cyber programs

Hugh Kennedy -

August 13 2026

Each of the high-level practice areas is scalable and adaptable based on a firm's risk profile, business model and technology complexity

Woman performing household chores, sweeping tiled floor with a red broom in her home

Featured

RCW exclusive: A sweep exam letter for Reg S-P

Heather Ayers -

August 7 2026

Sources tell RCW this is indeed the DOE sweep exam letter for Reg S-P. Test your ability to be ready should examiners target your firm

Featured

Reg S-P series conclusion: Tips for the CCO role and privacy

Heather Ayers -

August 7 2026

You’re alerted to a possible breach. You spring your incident response plan into action. As CCO, your responsibilities instantly blossom, but one duty must remain paramount

Private Funds

AI: Pouring or drinking?

Bill Myers -

August 7 2026

'Even if we didn’t have AI to worry about or even if cybersecurity were suddenly to disappear you still must get that basic work done,' ACA Group's Aaron Pinnick says.