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You are here: Home / Press Release / CYBER UPDATE : Registered Investment Advisers and Broker-Dealers SEC says It’s Your Turn to Pay Attention to Cyber Security

CYBER UPDATE : Registered Investment Advisers and Broker-Dealers SEC says It’s Your Turn to Pay Attention to Cyber Security

May 19, 2015 by Rob Kleeger

The Division of Investment Management (IM) of the Securities & Exchange Commission (SEC) has weighed in on Cyber Security of registered investment companies (“funds”) and registered investment advisers (“advisers”) as an important issue because both funds and advisers increasingly use technology to conduct their business activities, and need to protect confidential and sensitive information related to these activities from third parties. That information includes information concerning fund investors and advisory clients.

The IM recommends a number of measures that funds and advisers may wish to consider in addressing Cyber Security risk, including:

Conduct a periodic assessment of:
– the nature, sensitivity and location of information that the firm collects, processes and/or stores, and the technology systems it uses;
– internal and external Cyber Security threats to and vulnerabilities of the firm’s information and technology systems;
– security controls and processes currently in place; and
– the impact should the information or technology systems become compromised; and the effectiveness of the governance structure for the management of Cyber Security risk.
– Create a strategy that is designed to prevent, detect and respond to Cyber Security threats, such a strategy could include:

– controlling access to:
§ various systems and data via management of user credentials;
§ authentication and authorization methods;
§ firewalls and/or perimeter defenses;
§ sensitive information and network resources;
§ network segregation;
§ system hardening; and
§ data encryption.
– protecting against the loss or exfiltration of sensitive data by:
– restricting the use of removable storage media; and
– deploying software that monitors technology systems for:
§ unauthorized intrusions;
§ loss or exfiltration of sensitive data; or
§ other unusual events.
– data backup and retrieval; and
– the development of an incident response plan
– routine testing of strategies could also enhance the effectiveness of any strategy.
· Implement the strategy through:
– written policies and procedures; and
– training that:
§ provides guidance to officers and employees concerning applicable threats and measures to prevent, detect and respond to such threats; and
§ monitors compliance with Cyber Security policies and procedures.

Filed Under: Press Release Tagged With: ADVISERS, CYBER UPDATE, CYBERSECURITY, RIA, SEC

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Rob KleegerFollow

Rob Kleeger
Digital4nxRob Kleeger@Digital4nx·
30 Dec

Thank you for being a member of the Digital4nx Group Family. Whatever your Digital Litigation Support or Cyber Security needs are, we'll be happy to find the right solutions for you now, and in the years to come.

Wishing you and your loved one's a safe,…https://lnkd.in/grsqm2W

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Digital4nxRob Kleeger@Digital4nx·
18 Dec

Security researcher Vinoth Kumar told Reuters that, last year, he alerted the company that anyone could access SolarWinds’ update server by using the password “solarwinds123”. https://lnkd.in/gvveFdU

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Digital4nxRob Kleeger@Digital4nx·
8 Oct

In case you didn't see this post the 1st time...you won't believe what you are reading. https://lnkd.in/giSEpGf

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Digital4nxRob Kleeger@Digital4nx·
23 Jul

"We need to find solutions that ensure people of color receive fair and equal treatment AND that police officers – who put their lives on the line every day to protect us all – are respected and supported." https://lnkd.in/dEakP4R

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Digital4nxRob Kleeger@Digital4nx·
7 Apr

Digital4nx Group, Ltd. And I thank the @NJSBDC and America's SBDC for the opportunity to help educate #SMB's across America in this unprecedented time. #wfhsecurely #wfhtips #WFH
#staysecure https://lnkd.in/eFZVBVM

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Digital Litigation Support Service

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  • Digital Forensic Investigations
  • Electronic Discovery Hosting, Consulting, and Advisory
  • Early Case Assessment
  • Expert Witness Testimony

Cyber Security Services

  • Cyber Security Services
  • Advanced Ethical Hacking
  • Vulnerability Assessment
  • Post-Breach Incident Response
  • Cyber Awareness Training
  • Cyber Risk and Compliance Assessment
  • CISO-As-A-Service

Case Studies

  • Rob Kleeger participates in the 2020 Small Business Council Cybersecurity Event
  • Working Smart, Not Hard… Remotely: Cybersecurity tips in a COVID-19 World
  • Rob Kleeger speaks on panel to plan fiduciaries at Worldwide Employee Benefits Network NY Chapter

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