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 […]
An investment in security: Why RIAs need a comprehensive security policy
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
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 […]