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Monthly Archives: April 2015
Cybersecurity Guidance
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
Posted in Uncategorized
Tagged compliance, Compliance Exam, cybersecurity, IA regulations, SEC regulations
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SEC Cybersecurity Exam – Round 2
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
Allowing use of home wi-fi to access business data
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
Posted in Uncategorized
Tagged compliance, cybersecurity, IA regulations, Investment Advisor, rules
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Delivery of ADV Part 2
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