Regulatory Compliance Association Reviews

RCA Cybersecurity Summit


The Regulatory Compliance Association presented “Enforcement, Compliance & Operations-2014” in New York.

Venue: Chadbourne & Parke LLP
1301 Avenue of the Americas, New York

Date: September 14, 2016


Standard Registration: $398
Subsidized Registration: $99 
Clients of Chadbourne & Parke: Complimentary

Regulatory scrutiny continues to escalate regarding Cybersecurity for Alternative Investment and Asset Management firms.

Regulatory agency expectations for Cybersecurity include a composite of:

  • The OCIE Cybersecurity Sweep Examination – targeting more than 50 investment advisers, fund managers and broker-dealers (Click Here) 
  • The OCIE Cybersecurity Sweep Examination Letter (Click Here) 
  • The recruiting of top-level Information Security executives to lead the SEC’s Cybersecurity initiative
  • The acquisition of senior level Alternative Investment operations executives for the leadership of OCIE
  • The transitioning of acutely experienced regulators into the leadership of the Division of Investment Management and the Division of Trading and Markets
  • OCIE’s compendium of RIA examination Cybersecurity deficiencies, which includes Alternative Investment Firms.
  • The Division of Investment Management’s Cybersecurity Guidance Update addressing issues for investment funds and advisers. (Click Here) 

Consequently, many Alternative Investment and Asset Management firms have tasked CCO and compliance officers with addressing an evolving set of regulatory expectations for Cybersecurity.

The Regulatory Compliance Association shall host a Cybersecurity Summit to equip compliance, legal and operations executives with a practical, effective and cost-efficient Cybersecurity action plan.