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

Hurricane Milton on Manasota Key in Englewood, Florida. Piles of rubbish on street side from severely damaged houses. Consequences of natural disaster.

Cybersecurity: Be sure to practice incident response

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Carl Ayers -

March 28 2025

One of the common errors that often gets discovered during such an exercise is the manager who states that the responsibility for a certain task would fall to an employee who’s not in the room—and that person has no idea of his expected duty

Broker-Dealers

Robinhood rides regulatory rollercoaster

Hugh Kennedy -

March 27 2025

SEC and FINRA settlements offer the industry lessons learned as they cover a wide landscape of current compliance hot-buttons

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New cybersecurity alerts released

Hugh Kennedy -

March 21 2025

FINRA worried for ransomware, social engineering

Investment Advisers

Cyber and emerging technologies unit formed

Hugh Kennedy -

February 27 2025

New unit will combat cyber-related misconduct and protect retail investors from bad actors in the emerging technologies space

Broker-Dealers

California wildfires prompt reg relief

Hugh Kennedy -

January 30 2025

The relief touches on such areas as emergency office relocations, regulatory filings, fees, customer communications, examination windows, and more

Stock photo of a mature man working in his home office. He’s studying a large computer monitor displaying a variety of numerical data, global information & text.

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Cybersecurity: Know your partners’ partners

Carl Ayers -

January 24 2025

You can aspire to do all the right things when it comes to cybersecurity, and your vendors may do so as well. Yet trouble can occur because your vendor’s vendor messed up