Operational Resilience and Governance

Business continuity planning, incident response, and governance
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The rise in cyber-attacks has highlighted the importance of developing robust policies, plans, and procedures to better protect your company from data breaches and efficiently recover from a cyber incident or significant business disruption. We can help your company implement a comprehensive information security program that enables you to identify and manage risks, foster a culture of security, and prepare for the unforeseen, but inevitable, incident with business continuity and incident response planning.

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Business Continuity Planning and Business Impact Analysis

In the event of a disaster such as a technological failure or cyber-attack, it’s critical to have a business continuity plan (BCP) that outlines the procedures your company must follow in order to continue operating and recover from the disruption. A business impact analysis (BIA) should also be part of your BCP, which evaluates the effects of a disruption on critical business functions.

How We Help

We provide business continuity planning development and implementation assistance which is designed to help your company address its operational and other risks in the event of a disruption, as well as meet upcoming regulatory obligations.

We can assist your company in developing its business continuity and transition plans. In addition, our advice and assistance can help you ensure that your company’s BCP meets the requirements of the SEC's proposed rule 206(4)-4, which proposes that SEC-registered investment advisers be required to adopt and implement written business continuity and transition plans.

Cyber Incident Response Planning

Is your company prepared for a cyber event? Incident response proficiency has become a necessary component of information security programs due to constant and evolving threats. In order to build and implement an effective incident response plan (IRP), a company must assess its overall risk posture and develop written policies and procedures to help protect its information technology environment. A properly designed IRP also provides guidance to employees and helps them understand their roles and responsibilities.
 

How We Help

We can help your company develop an IRP that is designed to mitigate losses in the event of a cybersecurity event. We will also provide guidance for your employees and help them understand their roles and responsibilities. Once your company has developed an IRP, we recommend testing its effectiveness through tabletop exercises.

Cybersecurity Tabletop Exercise

With data breaches on the rise and more privacy regulations going into effect, it’s more important than ever for companies to develop and test incident response plans in preparation for cyber events.

How We Help

Our tabletop incident response exercise is a discussion-based walkthrough of your company’s incident response plan. It allows you to test your plan with members of your team and assign roles for each scenario. The exercise is designed to uncover gaps and identify areas that your company can improve. The test can help you determine if your plan is reasonably developed and will be effective when faced with a real event.

WISP Development Assistance

A written information security program (WISP) documents the policies and controls that protect your sensitive data and critical systems, including the protection of personally identifiable information your company collects and stores.

How We Help

We can assist your company with developing a written information security program. Our service includes:

  • Developing WISP in accordance with industry standards and the appropriate regulatory requirements
  • Guidance on best practices
  • Identification of potential deficiencies based on our review of your current information systems and security policies, manuals, and procedures
  • Preparation of new documents or enhancing your existing documentation
Business Continuity Planning Checklist

Is your firm prepared to deal with the potential business disruptions caused by pandemics and other risks? Revisit your business continuity and disaster recovery planning with this checklist.

Download checklist

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Upcoming events

Money Laundering Reporting Officer: The Role and Responsibilities - 2 February 2022

The role of the Money Laundering Reporting Officer (MLRO) is a mandatory position in all firms in the Financial Services Industry. This reflects the statutory objective that the Regulator(s) have for ensuring that firms behave with “Integrity”, particularly relating to financial crime prevention. The MLRO therefore plays a significant role in assisting Senior management to ensure that systems and controls relating to anti-money laundering (AML) and countering the risk of terrorist financing (CTF) are appropriate and effective. This course provides practical advice and guidance on the responsibilities of the MLRO, what is expected by the Regulators, both of the Senior Management and the MLRO, and how those responsibilities can be achieved. It should be noted that attendance at this course does assume a good knowledge of the UK’s AML/CTF regulations.

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Annual Update - Senior Managers Obligations - 9 February 2022

The ever-increasing focus by the Regulators on the accountability of senior management, particularly when things go wrong, emphasises how important it is for individuals in senior positions to have a clear understanding of what is expected of them. This succinct course is designed to assist Senior Managers to have a full understanding of what they need to do to achieve compliance with the rules under the obligations created by the Senior Managers and Certification Regime (SMCR).

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Compliance Officer: The Roles and Responsibilities - 10 February 2022

The role of the Compliance Officer is a mandatory position in all firms in the Financial Services Industry. They play a major role in assisting Senior Management to ensure that appropriate and effective systems and controls are in place to achieve and maintain compliance with the applicable Rules. While the nature of the Compliance Function is likely to differ from one firm to another, this course provides an easy to follow breakdown of what the Regulator expects of a Compliance Officer and explains, in practical terms how the regulatory expectations and those of Senior Management can be achieved.

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