RIA Tech Talk Episode 1: Seven Microsoft Gems: Empowering Your RIA For Security & Compliance  

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The RIA Tech podcast, presented by RIA WorkSpace, is on a mission to simplify the complex world of technology for Registered Investment Advisors (RIAs). Listen to Episode 1 here:

In this episode, hosts Todd de Rocha and David Kakish discuss seven key Microsoft features that can empower RIAs in terms of security and compliance. These features are often underutilized by RIAs and implementing them can enhance cybersecurity and ensure regulatory compliance. 

Here’s the list we cover in this podcast:  

  1. Multi-Factor Authentication (MFA). MFA adds an extra layer of security by requiring users to provide two or more forms of authentication before granting access. It’s a fundamental security measure that every RIA should implement. 
  2. Email Encryption. Microsoft offers a user-friendly email encryption feature that enables users to easily encrypt sensitive emails on demand, ensuring the secure transmission of confidential information. 
  3. Email Archiving. Many RIAs are already paying for third-party tools like Smarsh or Global Relay for email archiving, but Microsoft’s email archiving option can save money and provide a seamless solution that meets SEC compliance requirements. 
  4. Microsoft Teams Archiving. RIAs using Microsoft Teams for communication can efficiently archive their Teams chats and conversations without the need for third-party tools. 
  5. File Archiving. For RIAs using OneDrive or SharePoint, Microsoft offers file archiving options that meet SEC compliance requirements. This feature allows you to keep records of previous document versions. 
  6. Data Loss Prevention (DLP). DLP helps prevent accidental data leaks by automatically detecting and protecting sensitive data, such as social security numbers or client information in emails. 
  7. Secure Single Sign-On for web-based applications. This feature enhances productivity and security by allowing employees to access various web applications with a single sign-on tied to their Microsoft Active Directory account. 


These Microsoft features are fundamental to improve security and compliance, particularly in the context of remote work. These features are user-friendly and accessible, making it easy for RIAs to safeguard their sensitive data and ensure the security of their operations. RIAs are encouraged to take action, whether by configuring these features themselves, reaching out to their technology provider, or contacting RIA WorkSpace for assistance. 

Don’t be a sitting duck; take action to protect your business and client information.