Cybersecurity is an increasingly important focus area for the Securities and Exchange Commission ("SEC"). Whether it relates to managing passwords, identifying phishing attempts, or other forms of cyber attacks, it's imperative that registered investment adviser ("RIA") firms are aware of the risks associated with cybersecurity.
This visual guide outlines cybersecurity tips and best practices that can help your firm and employees to remain vigilant and reduce risk of a security breach.
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Contact us if you any questions about our cybersecurity solution or compliance software.
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.