The regulators expect all RIAs and BDs to have a Cybersecurity Plan in place. Even with only limited regulatory guidance available and no rulemaking in place, you will be found to be deficient during a regulatory exam if you have not taken steps to identify,
protect, detect, respond, and recover from a cyber-attack.
This Cybersecurity Kit includes:
- Cybersecurity Plan Matrix (framework to help you build out your plan)
- Cybersecurity Policy (brief policy acknowledging a plan will be put into place)
- Cybersecurity Information (regulatory developments with links to source documents)
- Cybersecurity Advance Planning Checklist (questions to help you design your plan)
- Cybersecurity Protection Steps (checklist of precautions to take)
- Cybersecurity Breach Response Checklist (steps to take after you learn of a breach)
The Cybersecurity Kit is delivered in WORD for your easy customization.