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Data Encryption Best Practices for Los Angeles RIAs

Is your Los Angeles investment advisor firm protecting sensitive client information with data encryption? For investment firms, data protection is more than a company-mandated directive: it’s the law. Failure to protect sensitive information can ...

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How RIA Technology Can Improve Efficiency

Like many professionals across a number of industries, Los Angeles registered investment advisors (RIAs) may struggle to remember a time when they didn’t use RIA technology to manage their business and communicate with clients. The internet, along ...

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How Encryption Software Can Protect LA RIAs

As an LA based Registered Investment Advisor there’s a good chance you’re doing as much as you can to protect the sensitive data you handle on a daily basis.  From firewalls and paper shredding, to system purges and strong passwords there’s a lot ...

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3 Ways LA Investment Advisors Can Implement A Successful Business Continuity Plan

Through business continuity planning, Los Angeles registered investment advisors (RIAs) can deliver important services to clients — even in the event of a disaster or another disruption. A firm can minimize threats and quickly rebound from ...

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Reducing Security Threats for Los Angeles Investment Advisors

Security threats are a primary concern for the financial services industry. The Securities and Exchange Commission (SEC) recently discussed the increasing number of attacks targeting RIAs and broker-dealers. FINRA is now auditing more firms to ...

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4 Common Mistakes LA Investment Advisors Make on Their IT Disaster Recovery Plan

Information Technology (IT) disaster recovery planning (DRP) is a critical component of any successful business in today’s digital age. However, many Los Angeles investment advisor firms make mistakes while planning and implementing their plans — ...

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Why Secure Passwords Are Critical For Los Angeles Investment Advisors

Having secure passwords could help eliminate enormous risks for Los Angeles investment advisors. If a password is not secure, a single flimsy word or phrase is all that stands between a hacker and your client’s data. Secure passwords are complex. ...

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6 Things the SEC Cares About When Assessing RIA Security

If your firm already has been subject to an audit, you’re aware of what the SEC is looking for during their visits. If you’ve yet to be audited, the idea may inspire feelings of dread or concern. As scary as it may be, it’s important to understand ...

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7 Tips for Success of Prosperous LA RIAs

Some of the most successful registered investment advisors (RIAs) in Los Angeles share key traits with the most successful RIAs around the country. Naturally, areas such as security, compliance, and operational efficiency are always top of mind. ...

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5 ‘How-To’ Hints for Improving Technology for LA Investment Advisors

In one form or another, technology plays an integral role in the daily grind for any modern registered investment advisor. Having up-to-date technology can not only help your firm operate more effectively and efficiently, but it also helps to ...

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Key IT Factors for Los Angeles RIAs to Consider Before Moving

Whether your Los Angeles Investment Advisory firm is moving to a new floor within your building or across town, the key to making the move successful is in investing time into careful IT planning BEFORE the move starts. One of the first steps in the ...

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