For many registered investment adviser (RIA) firms, there is no greater risk to the business than the potential theft or exploitation of sensitive client information in its possession. Cybersecurity is generally considered to be part of a firm's compliance requirements, however the current regulatory requirements have not all caught up to the current business threats. Thus, it's essential that all RIA firms take a very proactive approach when it comes to cybersecurity compliance regardless of current regulations.
This complimentary checklist outlines 10 steps to help RIA firms properly address cybersecurity threats including: