Cybersecurity for RIAs: How Safe are You?
Discussion on cybersecurity policies and best practices for registered investment advisors with AdvisorAssist
About the Webinar
Cybersecurity was again reiterated as an SEC examination priority for 2016. This is not surprising considering the number of high profile cybersecurity issues in the news in 2015. The regulators have provided readiness guides for RIAs to follow, but most still don’t know where to start. Our discussion will focus on what the regulators expect to see and practical best practices for RIAs to implement.
What you will learn
- Overview of recent developments from the SEC in regards to cybersecurity for RIAs
- How to build a culture of compliance related to cybersecurity
- Best practices related to sensitive data, access control, fund transfers, and vendor management
- Simple action plan to develop your cybersecurity policies and procedures
Watch our Recorded Presentation
About our Presenter: Chris Winn
Chris founded AdvisorAssist in 2006 to provide comprehensive support to elite advisory firms seeking independence and risk-managed growth. Chris has over 22 years of investment management industry experience, with a focus on regulatory compliance, business transitions, and operations/technology matters.
About our Presenter: Michael Conlon
Michael has over eight years of regulatory compliance experience, with a focus on compliance program design and implementation for investment firms. The breadth of Michael’s experience comes from positions he has held that placed him in the cross-section of compliance, IT and operations, allowing Michael to garner a keen appreciation for advisor regulation, as well as how technology, process design, and controls strengthen compliance program implementation.