Improving RIA compliance with Microsoft Compliance Manager

June 28th, 2021

Not all RIA firms have the labor force and resources to focus solely on compliance like large corporations do. That’s why RIAs should be aware of tools like Microsoft 365’s Compliance Manager to help with their compliance needs.

What is Microsoft Compliance Manager?
Compliance Manager is Microsoft’s proprietary compliance management solution that you can access via the Microsoft 365 compliance center.

Man-in-the-Middle Attack – SCAM OF THE MONTH

June 25th, 2021

Mina was traveling abroad and enjoying a life-changing cultural experience. She was always on the go, taking in all the city sights she could see while updating her blog along the way. To make her blog upload efforts easier, Mina set her phone up with the AutoConnect feature so she could automatically connect to any Wi-Fi network that she'd previously connected to.

What is endpoint security and is your RIA on top of it?

June 25th, 2021

Cybersecurity is critical for modern organizations but even more so for RIAs and other financial services providers. Not only do you have to steer clear of opportunistic cybercriminals, but you must also proactively comply with the increasingly stringent requirements of both the US Securities and Exchange Commission and the Financial Industry Regulatory Authority when it comes to protecting valuable data.

Securing your RIA’s cloud apps

June 23rd, 2021

Are you aware of all the devices, apps, and other technology your staff use for work? From personal smartphones to social media apps and productivity software to mail services and personal cloud storage, it’s possible that the employees at your RIA firm are using devices, software, and services without the knowledge of management or your IT services provider.

Microsoft 365 E5 provides Identity Protection for your RIA

May 26th, 2021

The vast majority of security breaches today occur when attackers gain access to an IT environment using stolen identities or accounts. It’s therefore crucial that you monitor your RIA firm’s accounts and passwords to determine if they have been compromised.

Protecting your data when a RIA departs the company

May 26th, 2021

When employees leave, they are required to return all the company-issued items in their possession. These include all the data they had access to in the course of their tenure. This is especially important in the finance industry, as RIAs handle sensitive personal and financial data for their clients.

Vaccine schedulers – SCAM OF THE MONTH

May 6th, 2021

Each month, we highlight REAL examples of tactics criminals are using RIGHT NOW to take advantage of you and your colleagues. We hope this will better prepare you when the next scam hits.

Marcie had been waiting patiently for her chance to get the Covid-19 vaccine.

Check your RIA’s Cloud Security Score

April 29th, 2021

As a registered investment adviser (RIA), you must protect the data and privacy of your clients. It’s not only an ethical obligation but also a professional one — RIA firms are required to have internal controls and programs that keep client data secure and compliant with federal securities laws.

Staying SEC-compliant with Microsoft’s email archiving

April 26th, 2021

SEC compliance is a critical aspect of any RIA practice in the United States. Failing to adhere to these rules can result in fines or other harsher penalties, so it’s important for financial services companies to make sure their information system is capable of meeting such stringent requirements.