Demystifying DLP for Investment Advisers

Regulatory Concerns for Data Loss Prevention

How confident are you in your firm’s information technology controls to prevent privacy breaches? The Securities and Exchange Commission is focusing its sights on investment advisers’ use of and increasing reliance upon technology – technology which simultaneously improves efficiency and introduces additional complexity to enterprise risk. As the SEC’s National Examination Program (NEP) examination priorities for 20131 indicate, regulators are keenly interested in the privacy and security issues surrounding the increased reliance upon information technology by investment advisers.

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CSS frequently publishes blog posts which are written by our team from their observations in the field, at conferences and through experiences with compliance professionals. These posts are designed to further knowledge and share industry best practices. Topics run the gamut, including Form ADV, cybersecurity, MiFID II, position limit monitoring, technology challenges and more. Complete and submit the brief form below to receive notifications when we publish new content.

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