Blog
New Compliance Suite: Created for and by CCOs of Registered Investment Adviser Firms
Background Shelli first worked with the itSynergy team in 2012 and maintained a professional relationship with them as her compliance career progressed. In 2017, as Chief Compliance Officer (CCO) for a local registered investment adviser (RIA) firm, she brought in itSynergy for managed IT services, explaining that she sought them out for their demonstrated industry…
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.