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Investment Adviser Survey on Cybersecurity

The department’s Securities’ Bureau of Securities Licensing, Compliance and Examinations is participating in a nationwide cybersecurity survey to help state regulators understand existing good practices that can help in providing guidance in this area. 

The survey, which was developed by the North American Securities Administration Associations, is being sent out by the Bureau to approximately 900 Pennsylvania registered investment advisors. Survey responses are designed to be anonymous in order to encourage candid and prompt responses. Aggregate results of survey will provide information about the technology and data processes used by investment advisers, how advisers communicate with their clients, and regulations the advisers follow today. Advisers are being asked to address any cybersecurity threats within the past year, any loss or theft because of a breach in their systems and document the last time a cybersecurity threat assessment was performed. 


Please Note: the address for securities-related mail is 17 North 2nd Street, Suite 1300, Harrisburg PA 17101-2290.