Description
As the investment advisor and Registered Investment Advisor (RIA) industry faces growing cybersecurity threats, the Securities and Exchange Commission (SEC) has proposed pivotal amendments to regulatory frameworks. This course delves into the evolving landscape of cybersecurity regulations within the financial sector, with a focus on the SEC’s proposed rules for advisors and RIA firms.
Learning Objectives
• Participants will learn about the current and proposed legislation.
• Participants will learn about the different policies and procedures that should be adopted surrounding cybersecurity.
• Participants will learn about the proposed rule and the reporting/recordkeeping requirements it would impose.
• Participants will review the alternatives that were proposed to address cybersecurity risks.
• Participants will learn about the process they should follow if an incident were to occur and how to remain compliant.
• Participants will review the disclosures they must make, along with the policies and procedures they must have in place and regularly update.
• Participants will learn about the proactive steps they can take to protect sensitive information.
• Participants will learn about the annual review process and the importance of keeping systems running. They will also review an example.
• Participants will review a case study and learn about another proposed amendment.