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Why Investment Advisors Need to Take Client Data Protection Seriously

As a registered investment advisor (RIA), you’re not only expected to protect your client’s data from a professional standpoint, it’s actually your fiduciary duty to do so. But carrying out this responsibility is a lot easier said than done in ...

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3 Data Breaches That Impacted Financial Advisory Firms

One of the most frequent concerns with prospective and current clients is the concern about the rise of data breaches affecting financial advisory firms and other financial industry businesses. Financial advisory firms are a prime target for many ...

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Why LA Investment Advisors Need Layered Security

Once upon a time, firewalls and antivirus software were considered the norm for effective cybersecurity. But today, conventional firewalls and antivirus programs are no longer a strong defense against threats in a constantly evolving virtual ...

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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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