2nd wave of Cyber Security Audits for Investment Advisors and Broker Dealer is coming!

This is the 2nd wave of communication from the SEC in the past 2 years to focus on the importance of securing a client’s data both internally to your organization and externally with partners and technology service providers, specifically cloud based applications. Investment advisors need to understand that while a decline in portfolio performance may result in the loss of a few relationships, a breach of client data could be much more severe, risking very serious damage to the firm’s reputation.

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