Monthly Archives: April 2015

Cybersecurity Guidance

Posted on April 30, 2015 by

Ahead of Round 2 of the SEC’s Cybersecurity Sweep Exam, we now have guidance regarding what they might be looking for when they come to visit. They recommend the following: Conduct a periodic assessment to identify potential cybersecurity threats and vulnerabilities … Continue reading →

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SEC Cybersecurity Exam – Round 2

Posted on April 21, 2015 by

The SEC will begin Round 2 of its Cybersecurity Sweep Exam.  I have heard that this time the exams will be on-site.  If you haven’t reviewed the Round 1 document request list available at the link below, do so soon. … Continue reading →

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Allowing use of home wi-fi to access business data

Posted on April 16, 2015 by

If you allow employees to access business data via their home wi-fi, you will want to have some specific requirements in place.  Create a checklist to mitigate the risk of accessing business data from a home wi-fi.  Consider the following: … Continue reading →

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Delivery of ADV Part 2

Posted on April 3, 2015 by

On an annual basis, a registered investment adviser must (i) deliver within 120 days of the firm’s fiscal year end, to each Client a free updated Form ADV, Part 2A that either includes a summary of material changes or is accompanied … Continue reading →

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