Episode 7 - Defend, Detect, Prevent: Being Proactive About Cybersecurity, Client Data Protection, and Fraud Prevention

RIA cybersecurity, Regulation SP, client data protection, and incident response planning are front and center for today’s registered investment advisers. In this episode of Adviser Intelligence, Stark & Stark investment management and compliance attorneys Stephen Galletto, Esq., Jeffrey Lang, Esq., and Mittal Patel, Esq. unpack what the new Reg SP requirements mean in practice for SEC‑registered advisers. They discuss how firms of all sizes should approach: Building and updating written incident response plans Training employees to report suspected phishing, hacking, or social‑engineering attempts Distinguishing true “incidents” from minor missteps Handling misdirected emails and potential exposure of non‑public personal information Coordinating federal Reg SP duties with state breach requirements Cybersecurity insurance and what it may (and may not) help with Vendor risk management, due diligence packets, and 72‑hour breach expectations Ongoing reviews of cybersecurity manuals, data mapping, and Reg S‑ID identity theft programs You’ll also hear what the SEC is focusing on in exams and sweep reviews, and why “right‑sized” but robust cybersecurity programs are now expected. Call Stark & Stark’s investment management and RIA compliance team in Lawrenceville, New Jersey, or visit stark-stark.com to discuss your firm’s needs. #RIACompliance #Cybersecurity #RegSP For information purposes only; not legal advice. Results may vary depending on your particular facts and legal circumstances. No aspect of this advertisement has been approved by the Supreme Court of New Jersey. This podcast provides general legal information and commentary only. It is not intended as legal advice, nor does it create an attorney-client relationship. For more information about Stark & Stark’s services, please visit www.stark-stark.com.