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RIAs: Technology is Changing Your Industry, Are You Ready?
Your office phone rings. One of your clients is walking home on a Friday afternoon and wants to discuss how recent events impacted their portfolio. They don’t want to wait to see you in person. Your client is expecting the meeting to occur right there, over the phone, as they walk through downtown traffic. The…
Uncertain Times Call for Expert Guidance: 5 Reasons to Revisit your IT Plan
2020 has turned into a year of great uncertainty for businesses. Big questions are being raised in the face of the COVID-19 pandemic: How do you deal with dynamic, uncertain situations? How do you prepare for the future? Getting expert guidance in IT is an important first step. In the short term, everyone’s IT requirements…
What You Need to Know About Encryption: 5 Tips for RIAs
OCIE audits are hardly a pop quiz for registered investment advisors (RIAs). Every year, the SEC releases its priorities for the year. Right there in the 2020 Examination Priorities on page 13, you’ll find “Information Security.” The publication even underlines the importance of the section with a “Did You Know?” callout box, reminding readers how…
Are You Prepared for Disaster? 5 Action Items for Successful Backups
Businesses in Arizona have at least one major advantage over peers in other states: we don’t have to deal with extreme weather events, like hurricanes or tornadoes. But this benefit is a double-edged sword because it cultivates a false sense of invincibility. Business owners perceive disaster recovery plans as unnecessary because we don’t have weather-caused…
How to Create a Transparent IT Partnership – And Why It Matters
More than once, this has happened to us. We’re in a meeting with a potential client. It reaches the point where we want to know more about how their systems are structured and see if we should work together. We ask for access and our potential client tells us they need to get the credentials…