IA- Investment Adviser Small Firm Cybersecurity Program

The Investment Adviser Small Firm Cybersecurity Program serves as an important part of an investment adviser’s overall cybersecurity program by providing guidance on safeguarding critical business data and sensitive information within the framework of SEC’s OCIE Cybersecurity Initiatives.  The customizable template allows firms to memorialize their cybersecurity processes and includes seventeen separate sections in areas such as network security, privacy and data security, data inventory and risk assessment, website security, email and mobile devices, physical and operational security, incident response and others.  Members also downloaded NY State Registered Investment Adviser Cybersecurity Procedures (Small Firm Limited Exemption) or Investment Adviser Privacy Policy Statement.

Version/Update: V.3/October 22, 2018

Total Page Count: 84

Source/Author(s): Connexien