Email protection made easy: Why Microsoft Defender for Office 365 is a must-have for your RIA firm
For registered investment advisors (RIAs), every email ping is a potential opportunity, a client query, or an industry update. But hidden within these email exchanges could be messages carrying malicious intent. Unfortunately, email remains one of the most common methods of cybercrime, with phishing attacks and malware being the top threats. So, what can you […]
Common IT benchmarks to measure the effectiveness of your IT provider
Measuring the effectiveness of your IT provider is essential for ensuring that your registered investment advisory (RIA) or financial advisory firm is getting the most out of your partnership. By tracking key IT benchmarks, you can assess your provider’s performance and identify areas for improvement. You can also use this information as a basis for […]
Crafting the perfect internet usage and monitoring policy for your RIA firm
The internet has become indispensable to modern businesses, and registered investment advisory (RIA) firms are no exception. The internet offers a wealth of information, communication, and networking opportunities that can greatly benefit RIA firms in terms of efficiency and productivity. However, the internet also poses potential risks for RIAs, including data breaches, cyberattacks, and inappropriate […]
Keeping ahead of RIA compliance: The role of your IT provider
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
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
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
At a glance: What RIAs need to know about SEC email compliance 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 […]
How to choose the right financial advisor software for your RIA tech stack: A comprehensive guide
As a financial advisor or registered investment advisor (RIA), you know that the right software can make a big difference in your business. With proper tools and resources, you can become more productive, manage your clients more effectively, and stay on top of the ever-changing financial landscape. When deciding on the best platform and financial […]
Uploading documents securely: Enhancing data protection with the file request feature in OneDrive and SharePoint
Do you need clients or colleagues to share confidential documents with you, but want to avoid the risks associated with sending sensitive information via email? Are you frequently sharing large or classified files with external partners and searching for a secure and convenient solution? Look no further. Microsoft provides a powerful feature that allows you […]