Cybersecurity is, and probably will continue to be for many years to come, a continued area of focus for the U.S. Securities and Exchange Commission (“SEC”). This was one of the focus areas identified in the 2019 Examination Priorities issued by the SEC’s Office of Compliance Inspections and Examinations (“OCIE”). Additionally, on April 16, 2019, OCIE issued a Risk Alert addressing investment adviser compliance issues related to Regulation S-P – Privacy Notices and Safeguard Policies. During our webinar, RCC’s consultants will discuss SEC cybersecurity examination priorities, the SEC’s April 16 Risk Alert, and SEC enforcement actions related to cybersecurity. Our consultants will discuss not only the need to develop strong cybersecurity policies and procedures to ensure the safeguarding of customer records and information but also the importance of implementing and testing those policies and procedures. Additionally, our consultant will provide tips for best practices to meet regulatory expectations and protect customer information.
Date Recorded: May 16, 2019
Time: 62 minutes
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