Regulatory Readiness
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AI is moving fast—are your policies keeping up?
Are you treating AI like a helpful assistant—or a ticking time bomb? AI is making our lives easier, no question. However, when introduced into the workplace without clear oversight, it can pose serious risks to your business—from regulatory exposure to cybersecurity threats. AI Risk Management Starts with Clear Policies and Communication Drawbridge’s Simon Eyre and…
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DORA Preparation Check List
The Digital Operational Resilience Act (DORA) has officially been in effect since 17 January 2025, following a two-year lead-up period—but many organizations are still playing catch-up. Although DORA is an EU regulation targeting the financial sector, including alts, its reach extends beyond Europe. U.S.-based companies that provide services to EU financial institutions, including subsidiaries, are…
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The Cyber Security Ecosystem: Trust but Verify
In cybersecurity, independence doesn’t mean going it alone—it means making informed decisions while leveraging a strong network of trusted providers. Alternative investment firms depend on Managed Service Providers (MSPs), cyber risk advisors, and compliance experts to enhance their security, but they must also maintain autonomy in assessing risks, implementing best practices, and verifying protections. This…
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How to Prepare Your Firm for SEC Compliance in 2025?
In May 2024, the U.S. Securities and Exchange Commission announced the Regulation S-P amendment. We covered the S-P Amendment update when news of this regulatory change first broke. Per the SEC’s press release, the amendment applies to broker-dealers, investment companies, registered investment advisers, and transfer agents. Specific requirements fell into three main categories: Incident response…
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ON DEMAND: SEC Seminar: Essential Compliance & Cybersecurity Takeaways
The SEC recently hosted its Compliance Outreach Seminar for investment professionals, focusing on information security and operational resiliency. What were the key takeaways for investment professionals and their firms? On November 14, Elizabeth Cope, CEO of SEC Compliance Solutions LLC, and Simon Eyre, CISO at Drawbridge, unpacked the seminar’s insights during a special fireside chat.…
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Alternative Investment Managers located in NY: What you need to know about changes to NY DFS Cyber Regulations
As of November 1, 2023, Part 500 of the NYCRR has come into effect. Here’s what Alternative Investment Managers need to know about the new requirements of Part 500 and to whom they apply. What you should know — Knowing whether or not your business falls within the scope of NYCRR Part 500 is the…
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[Webinar recording] A practical guide to DORA compliance strategies for Investment Fund Managers and Asset Management firms
Time is running out to meet the EU Digital Operational Resilience Act (DORA) requirements. Register for the joint webinar with Zeidler Group to learn how you can be prepared before the January 2025 deadline. DORA, intended to ensure stability and cyber resilience in the financial sector, is a complex piece of regulation that requires a…
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[Webinar recording] Protecting Private Equity Portfolio Companies: Using Data-Driven Insight to Mitigate Cyber Risk
Private Equity firms and their Portfolio Companies face unprecedented cyber risks. From financial losses to reputational damage and disruptive operational downtime, the consequences of overlooking cybersecurity are severe. Explore how the evolution of cyber threats, coupled with regulatory compliance requirements, compounds these risks, leaves Portfolio Companies vulnerable to a wide range of cyber attacks. Watch…
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SEC Cyber Rule for Advisors vs. the Public Disclosure Rule
How the April 2024 SEC Cyber Rule differs from the Public Disclosure Rule, and what it means for you as an Alternative Asset Manager. What you need to know – How the SEC Cyber Rule differs from the Public Disclosure Rule . To help you prepare for the new cyber rule, let’s answer three essential…
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2024 SEC Examination Priorities for Cybersecurity in Registered Alternative Investment Funds
With the SEC’s “Cybersecurity Risk Management for Investment Advisors” rule still awaiting their final approval, they have released a significant update to the Department of Examination’s priorities for 2024. The publication comes with some interesting focal points for cybersecurity that help shape the direction we can expect in the final ruling. First, there is a…
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SEC Cyber Rule – Get Ready Webinar Series
Join Drawbridge as we host a series of webinars on proposed Cyber Requirements for Rule 206(4)-9, Rule 38a-2, and Amendments of 204-2. Through the course of five webinars, Drawbridge will discuss what firms can accomplish now despite the extended comment period until May 22, 2023. These webinars will be hosted each Wednesday at 12pm EDT…
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Webinar replay: SEC Cyber Rule – Get ready webinar series
Drawbridge is hosting a series of webinars on proposed Cyber Requirements for Rule 206(4)-9, Rule 38a-2, and Amendments of 204-2. Through the course of five webinars, Drawbridge will discuss what firms can accomplish now. If you missed the live event ‘Risk Assessment (Internal, Cloud, & Critical Vendors)’ , you can still catch the on-demand version…
