IT compliance services and guidance to help registered investment advisers and asset managers meet growing SEC cybersecurity requirements
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.
The SEC’s proposed cybersecurity risk management rules for investment companies and RIAs are expected to pass a final vote in October 2023 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:
Speakers from Omega Systems and Stradley Ronon recently spoke about the SEC’s proposed 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.
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.
Want a clear picture of how your technology infrastructure and processes stack up against the SEC’s requirements?
Omega’s 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.
To effectively meet the SEC’s rising expectations 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.
To enable effective SEC compliance and mitigate the risks associated with both cybersecurity 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.
