Why RIAs Must Rethink Cyber Risk Assessments
Why a Risk Assessment Isn’t Just a Check-the-Box Exercise for RIAs Cybersecurity risk assessments are mandatory for Registered Investment Advisers (RIAs). Unfortunately, too many firms still treat them as a formality. Once a year (or quarter, if they’re thorough), a designated employee will run through a worksheet or software tool, tick a few boxes, and…
How RIA Cybersecurity Builds Client Trust
How Your Cybersecurity Posture Impacts Client Trust in Your RIA You’ve spent years building your reputation. A cybersecurity breach can tear it down overnight. As a Registered Investment Adviser (RIA), your credibility depends on more than your investment strategies. Clients expect you to protect their financial and personal data with the same care you give…
RIA’s Guide to SEC Regulation S-P Compliance
Ensuring compliance with regulatory standards is critical for RIAs. SEC Regulation S-P, also known as the Privacy Rule, mandates that financial institutions, including RIAs, implement policies and procedures to protect customer information. This guide provides an in-depth look at SEC Regulation S-P, its requirements, and how RIAs can develop and implement comprehensive privacy and data…
Comprehensive Guide to Creating a Disaster Recovery Plan for RIAs
Ensuring business continuity and protecting client data are critical responsibilities for RIAs. A well-structured disaster recovery plan is essential to address these responsibilities effectively. This comprehensive guide will explore the importance of disaster recovery planning for RIAs, the key components of a disaster recovery plan, and steps to develop, implement, and maintain an effective disaster…
Free Download: RIA Cybersecurity & Compliance Checklist
Cybersecurity is paramount for RIAs who handle sensitive client information. A robust cybersecurity framework is essential not only to safeguard data but also to ensure regulatory compliance. This blog explains why RIAs need a strong cybersecurity posture, outlines key components of an effective program, and provides a free downloadable checklist to help your firm assess where it…