In this visual guide, we highlight the three main elements of cybersecurity for registered investment adviser (“RIA”) firms of all sizes: people, technology, and third party vendors. Given the U.S. Securities and Exchange Commission (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) continued examination focus on cybersecurity, every RIA should evaluate the firms cybersecurity program.
This informative infographic contains:
- Staff training to reduce the risk that a staff member becomes the entry point for a security breach.
- Policies and procedures for software and devices in use throughout your firm.
- How to help mitigate third party vendor risk.
Contact us if you any questions about cybersecurity.