Blog
OCIE Audits: How IT Experts can Help CCOs Stay Compliant
When it comes to the Office of Compliance Inspections and Examinations (OCIE) audits, there are two recent trends CCOs at Registered Investment Advisor (RIA) firms need to pay attention to: As audits become more common, you cannot afford to put off preparing for one. You’re well versed in the compliance rules and regulations, but do you…
Risk-Informed Decision-Making: What’s Your RIDM IT Loss Tolerance?
How long can your business go without its information technology being operational? Answering this question is an easy way to judge your business’ risk tolerance for loss of IT. So, once you’ve estimated your business’ tolerance for a loss of IT, you can begin to plan and implement risk-informed decision-making (RIDM) processes based on an…
#1 Lesson from Our Top 8 Blog Posts of 2018
#1 Lesson from Our Top 8 Blog Posts of 2018 As we approach 2019, we’ve been reflecting on the past year. You’re probably doing the same right now with your business – identifying those experiences and lessons from 2018 you can use in the new year to advance toward your goals. Part of our review…
Money Talk Interview on Arizona’s New Cybersecurity laws.
Listen and learn more about Arizona’s new cybersecurity laws and how you can protect your company and your client’s data. This quick 4:00 minute interview provides a good overview of what you need to know.
What to Include Your 2019 Business Planning!
Microsoft has announced the end of Extended Support for Windows 7 and Windows 2008 R2 in January of 2020. As a result, you need to get the last copies of these operating systems out of your environment in 2019. Get 3 easy steps to get you going in this quick, 2 minute video. [efsflexvideo type=”youtube”…