What the SEC's Proposed Cybersecurity Rules
Mean for RIA Firms

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On February 9, 2022, the SEC formally proposed new rules related to cybersecurity risk management for registered investment advisers ("RIAs") and Private Fund Advisers. The proposed rules are designed to reduce cybersecurity-related risks for firms and investors, improve adviser and fund disclosures regarding their cybersecurity risks and incidents, and enhance the SEC's ability to assess systemic risks.

To help investment advisers understand what the proposed rules mean for their RIA firms, we've created an infographic detailing recommendations for the following areas of concern: 

  • Risk Assessment
  • Access Rights & Controls
  • Data Loss Prevention
  • Mobile Security
  • Incident Response & Resiliency
  • Vendor Management
  • Training & Awareness

Contact us to learn more about our cybersecurity solutions.

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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.