The Federal Financial Institutions Examinations Council is providing a Cybersecurity Assessment Tool that institutions can use to help identify risks and evaluate their policy. While this tool was not designed for broker-dealers and investment advisers, it may be useful to help with their cybersecurity compliance efforts.
Click here to view the tool.
About Red Oak Compliance Solutions
Red Oak Compliance Solutions is a leading provider of intelligent compliance software, offering a range of AI-powered solutions designed to help firms of all sizes successfully navigate the increasingly complex regulatory landscape. Our suite of 17(a)-4/WORM compliant features offer risk minimization, cost reduction, and process optimization capabilities with features that are designed to evolve with our client’s needs. Our flagship advertising review software enables firms to deliver compliant content to the market with confidence, faster. Our Disclosure Management and Intelligence solution simplifies the management of disclosures, while our Registration Management solution automates and streamlines the licensing and registration process, further enhancing your internal processes.