Pandemic Regulatory Exams & Cybersecurity Protocols

Transcription:

Since the pandemic began, our partners have seen a significant increase in SEC examinations, with a strong focus on cybersecurity. Agio’s Managing Director of Cybersecurity, Ray Hillen and CEO of Titan Regulation & Advisory, Julie Dixon discuss the most recent guidance issued by the SEC, NFA, and FINRA, as well as how to ensure business continuity plans (BCP) meet these new regulatory requirements in preparation for exams.

Together, they address:

  • The five key elements consider in a BCP review
  • NASAA’s top five cyber-related deficiencies and what they mean for investment advisors
  • The active cybersecurity threats Agio is detecting and defending against in 2020

Give us a call to evolve your existing BCP. Our cybersecurity engineers can help your firm build a framework of safeguards and controls to protect and defend against ongoing threats.

Since the pandemic began, our partners have seen a significant increase in SEC examinations, with a strong focus on cybersecurity. Agio’s Managing Director of Cybersecurity, Ray Hillen and CEO of Titan Regulation & Advisory, Julie Dixon discuss the most recent guidance issued by the SEC, NFA, and FINRA, as well as how to ensure business continuity plans (BCP) meet these new regulatory requirements in preparation for exams.

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