Microsoft 365 pricing changes: What you need to know
If your organization hasn’t reviewed its Microsoft 365 subscription recently, now is a good time to start. As of July 1, 2026, Microsoft has updated pricing across its commercial, nonprofit, and government plans, with increases ranging from 5% to as much as 43% depending on the tier. The changes come alongside a packaging update that […]
Deepfake fraud and AI voice scams: How a financial advisor can stop fraud
When a client calls to request an urgent wire transfer, financial advisors need to act fast. But that urgency can create an opportunity for bad actors, who are now using fake audio and video to convincingly impersonate real people and steal funds. They may pose as wealthy clients over the phone or on video calls […]
Shadow AI in Your RIA: The Risk You Probably Didn’t Mean to Create
At a Glance: – Employees are already using AI tools, whether your firm has approved them or not.– This is known as Shadow AI: the use of AI applications outside your firm’s approved technology and IT compliance processes.– The biggest risk isn’t the AI itself. Its sensitive client information being shared with tools your firm […]
Text Messages and SEC Compliance: A Practical Guide for RIAs
At a Glance: 5 Tips for RIA text message archiving – Create a written policy that defines when and how employees can use text messaging for business. – Use a business texting platform instead of personal phones whenever possible. – Archive business text messages using a compliance-focused solution such as Smarsh or Global Relay. – […]
Zero trust security: What it means for your RIA’s network
For decades, financial advisory firms relied on a simple security setup: build a firewall around your office network, set some passwords, and trust everyone inside. But that was then. Today, remote staff, cloud portals, and mobile client apps have completely changed how we work, and with it, the old security perimeter has all but disappeared. […]
Access control best practices every small RIA should follow in 2026
If you run a registered investment advisory (RIA) firm, implementing access control is a top priority. SEC Regulation S-P requires firms like yours to have written IT policies that protect client data. Without them, your firm could face regulatory penalties, cyberattacks, and a loss of client trust. This guide breaks down the most important access […]
The SEC’s M Holdings Enforcement Highlights the Importance of IT Fundamentals
TL;DR– The SEC’s action against M Holdings wasn’t simply about multi-factor authentication (MFA).– The case highlights the importance of implementing and maintaining basic security controls and not just documenting them in policy.– For most RIAs with 5–25 employees, those controls are standard enterprise IT practices that are relatively straightforward to put in place with the […]
A guide to building your RIA’s multi-factor authentication policy
As a registered investment advisor (RIA), protecting your clients’ wealth and personal data remains your top priority. However, relying on passwords alone leaves your firm vulnerable to cyberattacks and compliance violations. A comprehensive multi-factor authentication policy clearly defines which users and systems require multiple verification factors, establishes the approved methods for checking a user’s identity, […]
Can RIAs Use Claude AI Safely? The Questions Advisors Are Actually Asking
TL;DR – Claude AI can be used safely in an RIA, but how you access it matters. Claude AI has been getting a lot of attention in financial services lately. Advisors are hearing that it’s more structured than other AI tools, better at summarizing complex information, and more “human-like” in reports and explanations As a […]