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.

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