is It Time for CCo's to step up to technology decisions at rias?


A startling realization is dawning on Chief Compliance Officers at RIAs. After years of focusing on documentation that proves employees are behaving properly, regulators are calling upon CCOs to step up and make crucial decisions about cybersecurity at their firms. 

Understandably, many RIAs have yet to adjust to this changing landscape but the SEC has made it clear that RIAs must have capable CCOs who are ready to take the lead on preventing cyber breaches, protecting client data and maintaining operations during disasters. 

If you missed our webinar you can join hosts Jason Claycomb and Justin Kapahi, during the replay for a discussion on how to keep your firm compliant, complete with advice for CCOs who may be taking their first steps into the world of cybersecurity. We covered:

  • Regulatory Guidance- gaining insight from the SEC's statements and alerts on cybersecurity.
  • The Role of the CCO- The extent of technical responsibilities, and outsourcing compliance help vs. keeping it in-house. 
  • How to Start Making Technology Decisions- reaching out to experts, and understanding the IT infrastructure.

About the hosts:

 JustinKapahiJustin Kapahi is Technical Director at External IT. He has over 15 years of experience in technology & finance and is the former CTO of Fairholme Capital Management.




EIT-Jason-Claycomb-BW.jpgJason Claycomb is the Corporate Governance Officer at External IT. He has over 28 years of experience in IT governance spanning Retail and Commercial Banks, Exchanges, Healthcare and Insurance.

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