Keeping ahead of RIA compliance: The role of your IT provider

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Numerous regulations exist in the world of RIA compliance — the fiduciary responsibilities, best practices, and continually updated standards that all registered investment advisors (RIAs) must follow. Your RIA or financial advisory firm must be mindful of these regulations, making sure you are both aware of and keeping up with the latest industry updates. Your […]

Getting your RIA ready for a Windows 11 upgrade

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As Microsoft’s latest operating system, Windows 11 brings a host of new features and improvements that can significantly enhance the efficiency and productivity of your registered investment advisory (RIA) firm. From its refined, user-friendly interface to improved security measures, Windows 11 is designed to offer a seamless and secure user experience. Here are some things […]

“Guaranteed returns,” “illegal,” and other data loss prevention trigger words

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In an age where information flows freely across emails and messaging platforms, ensuring the security and integrity of sensitive data is absolutely critical. For registered investment advisors (RIAs), maintaining a robust compliance framework is not only a legal requirement but also a commitment to building trust with clients. Microsoft’s data loss prevention (DLP) tools offer […]

Understanding SEC email compliance rules for RIAs

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The Securities and Exchange Commission (SEC) has a number of rules governing the retention and storage of electronic communications, including email. The main rule relevant to registered investment advisors (RIAs) is SEC Rule 17a-4, which requires covered entities to preserve certain electronic communications in a convenient format and accessible condition for a specific period. This […]

An investment in security: Why RIAs need a comprehensive security policy

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Maintaining the security of client data and financial information is paramount for any registered investment advisory (RIA) firm. As cybersecurity threats continue to loom large, RIAs and financial advisors like you must take the necessary measures to protect yourselves and your clients from potential risks. A comprehensive security policy is a critical element of this […]

The RIA’s guide to sharing SharePoint files and folders

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Secure collaboration is an essential part of financial advising, and it is imperative to ensure that your RIA firm’s sensitive data is properly shared and managed. With Microsoft SharePoint, you can provide employees, clients, and external partners with access to the files they need while keeping your firm’s information safe, all without relying on third-party […]