Data Loss Prevention for RIAs and Financial Advisors: Podcast

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Join David Kakish, the CEO of RIA WorkSpace, on this podcast about the importance of data loss prevention for Registered Investment Advisors and financial advisors.

David highlights two major problems he has observed in the industry:

  1. Many RIAs are unaware that they already have data loss prevention capabilities through their Microsoft subscriptions
  2. Many RIAs instead opt for expensive and complex third-party tools.


Your existing Microsoft subscription might have all the answers you need for data loss prevention

  • Over 90% of RIAs we talk to are already paying for a Microsoft subscription that includes data loss prevention features, but they are unaware or not utilizing them effectively.
  • Data loss prevention tools can automatically encrypt emails and notify your chief compliance officer when sensitive information like Social Security numbers or account numbers are detected in emails, attachments, or instant messages.
  • Customizable keyword filtering allows RIAs to flag specific terms of interest to their compliance officers, such as “illegal” or “guaranteed returns,” for review without hindering workflow.
  • The right data loss prevention setup should not impact the day-to-day workflow of your team.


If you want some help with data loss prevention at your RIA, or if you want to take full advantage of your Microsoft subscription, Contact Us for a free quote.  Our Managed IT package includes full data loss prevention services. 

Want to take a deeper dive into data loss prevention? 

Check out our blogs:


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