Registered Investment Advisors (RIAs) are facing a brave new world. As online commerce, the Internet of Things, automation, cloud computing, mobile devices and social media open new doors for sales, distribution, operations, and customer service, they also create new opportunities for criminals
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The following report is provided free each week by McAlinden Research Partners exclusively to members of Hedge Connection. Today’s issue cluster focuses on Cybersecurity
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The Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC) recently reiterated its plans to evaluate the cybersecurity practices of Registered Investment Advisors (RIAs) as part of its National Exam Program (NEP). Specifically, the OCIE will be reviewing the safeguards, policies, and procedures that advisors have in place to fend off cybersecurity attacks and respond appropriately if an incident occurs. To guard against attacks and avoid OCIE penalties, firms should take steps now to review and enhance their cybersecurity posture
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What trends and risks are we facing in cyber-attacks and data breaches? How has the regulatory environment changed? Are there actionable themes for success? How do allocators and the due diligence process look at cybersecurity?
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Investment managers and allocators are invited to join our complimentary seminar on November 8th in New York on the topic of Cybersecurity, hosted by Baker Tilly and Hedge Connection
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