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:
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Note: RIA in a Box LLC is not a law firm, investment advisory firm, or a CPA firm. RIA in a Box LLC does not provide legal advice or opinions to any party or client. You should always consult your relevant regulatory authorities as this information should not be relied upon as currently accurate. This information is provided for educational purposes only and is not an exhaustive list of regulatory requirements.