Regulatory Round-Up October 2025

October Regulatory Round-Up: Stay Ahead in Cybersecurity

As the days grow shorter and the nights grow longer, it’s the perfect time to make sure your firm’s digital defenses are as ready. The SEC has made it crystal clear: cybersecurity remains a top priority - and this October, True West is here to help you stay one step ahead.

This month’s Round Up delivers practical guidance and regulatory insight to keep your firm secure, compliant, and confident on the trail ahead.

This Month’s Trail Markers:

October Focus: Securing Your Digital Assets

Client data is one of the most valuable assets your firm manages - and protecting it isn’t optional. Strong cybersecurity starts with clear policies and procedures, tight access controls, and secure data disposal practices.  We’ll highlight how RIAs can build a defense-in-depth strategy that covers people, processes, and technology - ensuring that sensitive information stays exactly where it belongs.

Lessons from Recent Enforcement Actions

The SEC has been vigilant in cracking down on firms that fall short in their cybersecurity responsibilities.
The message? Be proactive, not reactive. Establish firm-wide controls, document data disposal processes, and communicate transparently if an incident occurs. Taking the time now to assess your controls can save your firm significant trouble down the road.

Cyber Risk Management: Trust, But Verify

Your vendors and third-party providers are part of your cybersecurity ecosystem - and they can also be part of your risk. We’ll explore a practical way to evaluate vendor security controls, monitor ongoing compliance, and strengthen your due diligence program so you can trust your partners without leaving your door wide open.

Regulatory Spotlight: SEC Cybersecurity Expectations

With new rules and proposals emerging, the SEC’s focus on cybersecurity governance, risk management, and incident response has never been sharper. We’ll break down what these expectations mean for RIAs and what steps you can take today to prepare for upcoming changes.

Tech Updates

We’re excited to share that True West continues to expand our technology and cybersecurity partnerships, helping firms enhance infrastructure, streamline compliance processes, and stay protected against emerging threats. Does your firm need a cyber readiness assessment or IT infrastructure review?  Reach out - our team is ready to help you strengthen your systems before year-end.

At True West, we believe that foresight, preparation, and the right partner make all the difference. So saddle up with this month’s insights - and ride into October secure, smart, and steady on the digital frontier.