Six-Step Cybersecurity Incident Response Plan for RIA Firms

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Due to the growing concern of underreported cybersecurity incidents, the Securities and Exchange Commission (SEC) proposed new cybersecurity risk management rules, aimed at improving resilience against cyber-attacks. Within this set of provisions, the SEC set new requirements for the manner and timeliness in which firms must report cybersecurity incidents.

To help registered investment advisers (RIA) firms comply with the new requirements, we have outlined a six-step response plan for any employee to follow if they suspect they have been targeted by a cyber attacker.


Contact us if you have any questions about our cybersecurity solution. 

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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.