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.