Credits
2.0
Content Area
Ethics & Professional Responsibility
Description
This course serves as a comprehensive guide for Investment Adviser Representatives on their ethical and regulatory responsibilities in regards to cybersecurity. It explores how an IAR's fiduciary duty of loyalty and care extends to protecting sensitive client data from cyber threats like phishing, ransomware, and business email compromise. Key topics include building a layered defense system through access controls and encryption, conducting vendor due diligence, establishing a culture of security awareness, and creating a formal incident response plan. The curriculum stresses that strong cybersecurity controls is a non-negotiable component of an adviser's professional and ethical commitment to their clients.
Topic(s)
Cybersecurity
Credits
2.0
Format
Text-Only
Other Professional Designations
None
Complexity
Overview/Beginner
Content Area
Ethics & Professional Responsibility
Course Date
On Demand