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SEC Cybersecurity Compliance Services

IT compliance services and guidance to help registered investment advisers and asset managers meet growing SEC cybersecurity requirements

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Cyber Risk Management & Consulting for SEC Compliance

With the Securities and Exchange Commission (SEC) expected to pass a sweeping set of cybersecurity rules that will require registered investment advisers, hedge funds, asset managers, and other investment funds to fortify their information security programs, it’s imperative that firms take action now to enable effective compliance.

Omega Systems has more than 20 years of financial services IT expertise and delivers comprehensive cybersecurity risk management services and SEC compliance assessment services to help RIAs and other market participants comply with these increasing regulatory demands.

  • Cybersecurity risk assessments
  • Managed SIEM and SOC services
  • Incident response planning & policy development
  • Fully managed cybersecurity suite
  • IT compliance platform & vCISO advisory

SEC Proposed Cybersecurity Rules

The SEC’s proposed cybersecurity risk management rules for investment companies and RIAs are expected to pass a final vote in April 2024 and will require funds and advisers to demonstrate compliance through a comprehensive set of information security controls, policies and oversight.

Key components of the SEC’s proposed rules include:

  • Written cybersecurity policies & procedures
  • IT risk assessments
  • User security and access controls
  • Threat and vulnerability management
  • Incident response and recovery plans
  • Board oversight
  • Recordkeeping
  • Cybersecurity incident reporting & disclosures

Watch & Learn: Guidance on SEC Cybersecurity Compliance

Speakers from Omega Systems and Stradley Ronon spoke about the SEC’s proposed cybersecurity rules during a live webinar, which included observations and perspectives on the Commission’s recent focus and enforcement relative to cyber risk management.

Watch the replay for insight into the SEC’s latest goals and expectations, what cybersecurity enforcement actions may look like in the future and how your firm can start enabling compliance now in advance of the final rules.

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Data Discovery Services

How can you effectively protect your investors’ assets without full transparency into your data – where it’s stored, who can access it, and how it’s transmitted?

Our data discovery and classification services, powered by Cavelo, give investment firms a clear view of their data sprawl and align vulnerability findings with real-time breach risks to help you understand the financial implications of non-compliance.

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IT Risk Assessment Services

Want a clear picture of how your technology infrastructure and processes stack up against the SEC’s requirements?

Omega’s IT risk assessment services clearly and efficiently identify and analyze gaps in your cybersecurity program and deliver specific recommendations for prioritizing remediation and achieving your SEC compliance objectives.

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IT Compliance Whitepaper

The C-Suite’s Guide to Cyber Compliance

To effectively meet the SEC’s new requirements for cybersecurity risk management, CFOs, COOs and other executives – historically removed from the technology process – will need to play critical roles.

By quantifying risk and aligning security priorities to direct and specific financial implications, C-suite execs can drive IT compliance and execute an organizational approach to risk management consequential to business performance and success.

Read our Whitepaper to Learn More

Enable SEC Compliance with Trusted Cybersecurity Expertise from Omega Systems

To enable effective SEC cybersecurity compliance and mitigate the risks associated with both cyber incidents and potential enforcement action, it’s essential your investment firm take action now. Turn to Omega Systems for the comprehensive compliance readiness services you need to meet the SEC’s latest rules while safeguarding your data, assets and reputation.

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