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Monthly Archives: October 2017
Disaster Recovery Plans
With all of the disasters in the past couple of months (hurricane, fires, floods) now is a great time to determine the adequacy of your Disaster Recovery Plan (“Plan”). You are required to “test” your Plan each year. Riding out … Continue reading
Cybersecurity Checklist
At the NASAA (North American Securities Administrators Association) annual meeting last month, the group was presented with a tool for state-registered advisers to help them assess their cybersecurity preparedness. The NASAA Cybersecurity Checklist for Investment Advisers includes 89 assessment areas … Continue reading
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Tagged compliance, Compliance Testing, cybersecurity, Investment Advisor
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