SEC Cyber Rule Preparation Checklist

This document is a checklist designed to assist clients in preparing for the upcoming SEC cyber rule. It outlines various actions that should be addressed, emphasizing that this checklist is not a substitute for a comprehensive risk assessment or other necessary actions mandated by the SEC cyber rule. Key steps include performing a cybersecurity risk assessment based on the relevant information systems and fund data, implementing written information security policies derived from the risk assessment, and establishing user standards of behavior through controls like an Acceptable Use Policy and staff training. Additional recommendations include creating procedures for user onboarding and offboarding, assessing the cybersecurity posture of vendors, securing access to systems, and monitoring security controls against malware. The checklist also advises on the implementation of an incident response plan and maintaining cyber documentation for the required period. Overall, it serves as a high-level guide to ensure compliance with SEC cyber regulations.