Since 2015, the Securities and Exchange Commission’s (SEC) Division of Examinations, formerly known as the Office of Compliance Inspections and Examinations (OCIE), has continuously listed cybersecurity as a registered investment advisor (RIA) annual examination priority.
In this guide, we provide an overview on the steps RIAs can take for cybersecurity risk management, including implementing an effective cybersecurity program and understanding the three elements of cybersecurity risk: people, technology, and
Below are the topics we cover in this all-encompassing guide on RIA cybersecurity:
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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.