Cybersecurity for Investment Advisers
Identify and mitigate cybersecurity risks across the deal lifecycle and create value for investors.
In the fast-moving world of investment advisory, it’s essential that cybersecurity is not an afterthought.
Investment managers often lack the ongoing visibility and oversight necessary to mitigate cybersecurity risks pre-, during and post-transaction. Whether a cyber incident, new regulatory compliance mandate or online misinformation, adverse events can erode fund value if an adequate response plan isn’t in place.
Investment and fund managers must prioritize the right framework, policies and controls to protect the business against financial, brand, and regulatory impacts of cyberattacks such as ransomware, client data and intellectual property theft.
Cybersecurity Services for Investment Advisers
Kroll delivers a packaged set of annual, ongoing and on-demand cybersecurity services to support private fund managers and registered investment advisers throughout their lifecycle in protecting their business from cyber risks that could damage fund value or reputation and help meet regulatory requirements.
Key Benefits
- Have the right documentation to demonstrate compliance.
- Train your people for cybersecurity awareness and phishing.
- Holistically understand current cybersecurity capabilities, risks, and the steps needed secure your business.
- Practice responding to an incident and update your plans reflecting the latest threats.
- Monitor your IT estate to detect, alert, and prevent malicious activity.
- Perform offensive security testing to identify weaknesses and inform resilience improvement initiatives.
Regulation S-P – What You Need To Know Now
Regulation S-P, adopted by the SEC under the Gramm-Leach-Bliley Act, requires financial institutions to safeguard consumer financial information through written privacy policies, proper data disposal practices, and incident response programs.
On May 15th, 2024, the SEC finalized amendments to Regulation S-P focused on enhancing the protections around customer personal information collected by financial institutions. In addition to several clarifications surrounding the current provisions of Regulation S-P, there are four new requirements stemming from these latest amendments, covering incident response, customer notification, service provider due diligence and recordkeeping.
Kroll’s cybersecurity and compliance consulting teams are attuned to SEC regulatory developments and prepared to support your efforts to meet these requirements.
Compliance Dates
- Larger Entities: December 3, 2025 – Those deemed to be RIAs with greater than $1.5 billion in assets under management, or registered investment companies with net assets of greater than $1billion
- Smaller Entities: June 3, 2026
Our Range of Packages
Features | Frequency | Tier 1 | Tier 2 | Tier 3 |
|---|---|---|---|---|
Incident Response Retainer | Always On |  |  |  |
Template Governance Artifacts (Policy, Standard) | Annual | | | |
Cybersecurity Hygiene & Cloud Security Assessment | Annual | | | |
Training (Awareness, Phishing) | Annual | | | |
Incident Readiness (Incident Response Plan, Tabletop Exercise) | Annual | | | |
Cybersecurity Capability Assessment & Roadmap | Annual | | | |
Penetration Testing | On-Demand | | ||
Managed Detection & Response | Always On | |
Example Client Journey
Kroll partners with you to enable business objectives while effectively managing cybersecurity risk. Our team of practitioners will tailor annual services to fit your business context, strengthen your defensive posture, and be resilient to cybersecurity threats.
Why Choose Kroll?
- Frontline Intelligence from 1000s Acute Events Each Year – we leverage frontline risk intelligence from handling thousands of incident response, regulatory response, financial crime and M&A due diligence engagements per year to anticipate the most likely risks to your business and reduce your unique risk profile.
- On the Panel of 85+ Insurance Carriers – Kroll has a dedicated insurance team for insurance and legal channels, with extensive relationships with 85+ cyber insurance carriers and exclusive benefits to insureds.
- Experienced, Accredited Cybersecurity Professionals – 650+ skilled and certified cybersecurity experts across the globe.
Stay Ahead with Kroll
Cybersecurity Due Diligence Services
Evaluate the cybersecurity risks associated with business transactions.
Cyber Risk Retainer
Kroll delivers more than a typical incident response retainer—secure a true cyber risk retainer with elite digital forensics and incident response capabilities and maximum flexibility for proactive and notification services.
Incident Response & Recovery
Kroll’s elite security leaders deliver rapid responses for over 3,000 incidents per year and have the resources and expertise to support the entire incident lifecycle, including litigation demands. Gain peace of mind in a crisis.
Cyber Risk Assessments
Kroll's cyber risk assessments deliver actionable recommendations to improve security, using industry best practices & the best technology available.
