Prepare for Business Continuity Planning Rule

The SEC is proposing a new rule 206(4)-4 under the Investment Advisers Act of 1940 that would require SEC-registered investment advisers to adopt and implement written business continuity and transition plans in order to legally operate under SEC jurisdiction. The rule … Read more

SEC: Prioritizing Cybersecurity

The SEC has expanded its cybersecurity examinations to include testing of firms’ implementation of procedures and controls

Demystifying DLP for Investment Advisers

Regulatory Concerns for Data Loss Prevention Introduction How confident are you in your firm’s information technology controls to prevent privacy breaches? The Securities and Exchange Commission is focusing its sights on investment advisers’ use of and increasing reliance upon technology … Read more