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First, we have been helping wealth management firms solve strategy and technology problems since we opened our doors in 2006.
Second, our program is designed specifically for wealth management firms.
The design methodology of our program comes directly from the rules that the SEC, FINRA and states like New York, Colorado and Vermont have, and are, putting in place. Additional principles drawn from other sources such as healthcare privacy rules and the GDPR make sure we align what we do for you with the broadest set of proven practices and technologies.
In the years since our founding, we have become one the most trusted sources of guidance in our market. With the addition of our cybersecurity program, RADAR, we extend that trust further and into the future.
Top Ten Take-A-Ways Vendor governance and 3rd party vendor due diligence is a significant challenge for wealth management firms. Firms are committing significant resources, with the goal of adhering to the FINRA Cyber Security Practices recommendations, NIST Cyber guidelines, and . . . Read More
At last month’s ComplianceRetreat, our focused agenda covered many of the challenges that we all face and try to manage. We’ve summarized the top-ten takeaways from our discussion, led by an outstanding group of Chief Compliance Officers and sponsors who presented case-study solutions. . . . Read More