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Board and Senior Management Oversight of Cybersecurity at the Adviser, the Registered Fund and Their Service Providers

March 2015

Watch Recording.

This is the second in our series of five webinars relating to cybersecurity in the investment management industry. Session two covers the fiduciary and other responsibilities of board members and senior management of investment advisers, as well as registered investment companies, in connection with cybersecurity matters.

Topics include:

  • Oversight responsibilities of board and senior management of investment advisers
  • Cybersecurity oversight responsibilities of mutual fund boards
  • Chief Compliance Officer oversight of cybersecurity
  • Cybersecurity and Rule 38a-1 and Rule 206(4)-7 reviews
  • Cybersecurity considerations with respect to service providers (e.g., transfer agent, administrator and custodians) and vendors (e.g., IT, due diligence providers, rating agencies)
  • Contractual considerations with respect to cybersecurity matters