Recorded Webinar - Establishing Information Security Programs for Registered Investment Advisers
| Quantity |
Product Description
RIA Compliance consultants hosted a webinar, "Establishing Information Security Programs for Registered Investment Advisers," on Thursday, September 13, 2012 from 12:00 p.m. to 1:00 p.m. Central.
During this webinar, RIA Compliance Consultants review information security as it pertains to registered investment advisers' requirement to protect confidential client information. Our consultants discuss the information security requirements under Rule 30 of Regulation S-P issued by the U.S. Securities and Exchange Commission ("SEC") and review certain key SEC enforcement actions. We also discuss the importance of establishing a written information security program designed to protect confidential client information and our consultants expand on specific information security safeguards that should be included in the written plan. Additionally, our consultants offer various best practices to meet the expectation to protect client data.