SEC compliance requirements are about to change – does your financial services organization have a plan for the future?
Compliance can be overwhelming
Ensure compliance without having to be an expert
Provide compliance for anything technology related for advisors
Have confidence in your compliance and cybersecurity programs
Major Regulation Changes for RIAs are on the Way
Registered Investment Advisors (RIAs) are no strangers to compliance regulations. However, in the coming months and years, there are going to be major changes when it comes to cybersecurity and IT requirements. Although it isn’t clear just yet what the SEC will be including in the final rules, RIAs can’t wait until the night before it’s released to develop a strategy and there are already indicators of what will be needed. Tackling new IT and cybersecurity requirements sooner rather than later will not only keep you ahead of the competition and prevent last-minute scrambling, but it will also ensure your organization lowers the risk of cyberattacks. Take action now to avoid correction letters, deficiency letters, and financial penalties.
Go Beyond Checking the Cybersecurity Boxes
When it comes to cybersecurity, compliance, IT, and your financial services firm, many CCOs are just checking the boxes and going through the motions. In that case, though, are you really protected? Our approach ensures that you’re meeting compliance requirements, working to mitigate risk, reducing the chances of a cyberattack, and keeping up with all regulatory changes. We know the technical side of compliance AND cybersecurity so you don’t have to.
Meet Compliance Requirements
We work with you to make sure your financial services organization is meeting IT and cybersecurity compliance requirements, even as new ones come online.
Test Your Policies
From data retention policies to incident response plans, we use exercises and tests to ensure your policies work in the event of an emergency. This is an especially important piece and something regulators will often look for and find missing at any firms.
Reduce Risk
By doing more than just checking the boxes, your organization can actively work to reduce risk, keep cyber attackers at bay, and prevent breaches.
Steer Clear of Correction Letters
With an IT financial services strategy for the future, not just for today, we can help you steer clear of correction letters, fines, and more.
Start Financial Services Compliance Today
Meet With Us
Connect with us online so we can discuss the best options for your financial services organization.
Undergo a Risk Assessment
With a Risk Assessment, we work with you to develop a custom proposal that fits your unique needs.
Look to the Future
We’ll put the plan in place that will help you stay ahead of IT requirements and cybersecurity compliance.
Steer Clear of Correction Letters
With an IT financial services strategy for the future, not just for today, we can help you steer clear of correction letters, fines, and more.
THE itSYNERGY RIA COMPLIANCE SUITE
The platform was built by cybersecurity and compliance experts. The platform not only audits your environment, but also implements a continuous 24/7/365 solution, actively protecting your firm from cybersecurity attacks.
The Platform Ensures
Your firm has a significantly enhanced cybersecurity posture
Compliance and documentation to prove you are doing what your documentation says you are doing.
Easily track change history, notes, discussions, and who was involved.
So That You Can
Provide compliance for anything technology related for advisors
Maintain SEC compliance and have peace of mind during regular audits.
Prove that your firm is continually improving.
CERTIFICATION
Meet Compliance AND Technology Needs
It’s not one or the other – we work with your business to meet all of your needs when it comes to IT, from data retention to acceptable use and MFA to business continuity plans.
Don’t Put Your Reputation at Risk
In the financial services sector, reputation is everything. If you receive a deficiency letter or a fine, you have to notify your clients, and a failed audit means more audits on the horizon. But by working with an IT company that understands your unique needs, you can meet these challenges head-on and ensure your reputation doesn’t take a hit.
Three Easy Steps to Get Started
Let Us Be Your Guide
1 Schedule an Appointment
It’s easy to connect with us. Ensuring a smooth transition is what we do best.
2 Take Advantage of The itSynergy FINSERV Compliance Suite
Receive A Risk Assessment & Custom Proposal
3 Trust Your Compliance
Feel Confident
COMMENTS ABOUT THE itSYNERGY RIA COMPLIANCE SUITE
There are compliance focused firms with former SEC staffers on the payroll that understand compliance. There are IT companies that understand cybersecurity. Finding deep expertise in both with a single company is very rare.”
Certified Ethical Hacker on the cybersecurity side and Investment Adviser Certified Compliance Professional on the compliance side is one of a kind.
RIAs know how to manage money – they don’t have the time to figure out the complexity of cybersecurity which is a black box to RIAs. itSynergy translates complex concepts into simple risk tolerance decisions that any business owner can understand and make.”
RIAs know how to manage money – they don’t have the time to figure out the complexity of cybersecurity which is a black box to RIAs. itSynergy translates complex concepts into simple risk tolerance decisions that any business owner can understand and make.”
With the itSynergy Compliance Suite, I am ready for an OCIE auditor to walk in the door at any moment. All I need to do is point them to my custom compliance portal and that contains everything they need and everything is always up to date.”
itSynergy set us up with our own custom compliance portal housed in Microsoft SharePoint. That gives me a single centralized location for all compliance documentation with robust version control I can use to demonstrate to OCIE auditors that I am reviewing and updating our compliance program regularly.”
Want to Learn More?
Learn the 7 Areas to Make Sure Your Firm is Cybersecure
All RIAs, no matter the size, run the risk of disruptive ransomware attacks, data and intellectual property theft, damage or abuse by disgruntled employees, or financial fraud.
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“As I.T. Director for FITCH, I enthusiastically recommend itSynergy for all of your IT support and upgrade/migration projects. I was responsible for upgrading our systems. Their assistance and guidance with this project proved to be invaluable and it was completed over the course of a weekend. They were with me on Monday morning and quickly resolved a few outstanding minor issues. Without question, I will use itSynergy for all of our future IT projects.”
