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.

LATEST BUSINESS CONTINUITY / CYBERSECURITY COVERAGE

Connection network in dark servers data center room storage systems 3D rendering.

Further fraud scheme intel coming

In a new regulatory notice FINRA reported the coming launch of the Fraud Intelligence Fusion Center

Cyber crimes reveal adviser’s lack of controls, results in $325k fine

The email account takeovers resulted in unauthorized, malicious phishing and credential-harvesting emails to many of the adviser's customers, potentially exposing their PII to bad actors

Nail down category for Reg S-P compliance

FINRA recommends firms "give careful consideration" to whether they fall into the "larger" or "smaller" category for purposes of coming compliance dates

New, AI-charged cyber threats emerging

Artificial intelligence makes scams even harder to detect.

Act quickly in case of fraud

Three tips for the unthinkable.

Help clients avoid online scams

The fraudster persuaded Joe that the wired funds were necessary to 'secure' his account and that this was a standard part of the fraud prevention process

THE LATEST

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