SEC Cybersecurity Rule 206(4)-9

This rule, issued by the U.S. Securities and Exchange Commission, outlines the crucial obligations of investment advisers to fortify their cybersecurity practices and protect client information. At CodeLock, we're not just a solution; we're your partner in ensuring accountability, safeguarding sensitive data, and staying one step ahead of potential threats.

Under SEC Cybersecurity Rule 206(4)-9, investment advisers are expected to:

Implement Cybersecurity Policies

Establish and maintain comprehensive written policies and procedures addressing the safeguarding of client records and information.

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Implement Safeguards

Deploy safeguards to protect client data, including measures to prevent unauthorized access, data breaches, and other cybersecurity threats.

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Provide Client Disclosures

Disclose information to clients about the firm's cybersecurity policies and practices.

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Regularly Assess Risks

Conduct periodic assessments of cybersecurity risks and develop strategies to mitigate these risks.

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Respond to Incidents

Develop an incident response plan to address and recover from cybersecurity incidents.

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Periodic Review

Regularly review and update cybersecurity policies and procedures to adapt to evolving threats and industry best practices.

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With CodeLock:

Monitor Code Changes

Seamlessly track modifications in your codebase, ensuring a vigilant watch over your software environment.

Instant Alert System

Receive immediate alerts for any authorized change, empowering you to take swift action in response to potential cybersecurity events.

Enhanced Accountability

Maintain a comprehensive audit trail of code alterations, bolstering your capacity to demonstrate accountability in compliance with SEC regulations.

Mitigate Risks

Leverage CodeLock's advanced features to identify and address vulnerabilities promptly, reducing the risk of unauthorized access or data breaches.

Robust Reporting

Generate detailed reports on code changes and security measures, streamlining your reporting obligations under the SEC Cybersecurity Rule.

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