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Red Flags: Recognize And Eliminate The Risks In Your Ria Firm’S Disaster Recovery, It Compliance, And Cyber Security Processes To Safeguard Your Reputation And Client Trust.

Written for the owners and officers of any Registered Investment Advisory firm, this book seeks to provide the answers you need to safeguard your firm’s reputation and maintain your clients’ trust.With over 35 combined years of reviewing and protecting RIA firms, we understand the unique cyber security threats, compliance regulations, and resource constraints facing RIA firms, which compelled us t...

File Size: 1733 KB
Print Length: 102 pages
Page Numbers Source ISBN: 1502405652
Simultaneous Device Usage: Unlimited
Publisher: Best Seller Publishing (September 15, 2014)
Publication Date: September 15, 2014
Sold by: Amazon Digital Services LLC
Language: English
Text-to-Speech: ::::
Word Wise: Not Enabled
Format: PDF ePub TXT ebook

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“A wonderful and practical guide to information security and systems management. I learned a lot and appreciated the level at which the insights were delivered. It was not at all too technical. It was fast paced and an easy read. The red flags concept...”

share our knowledge.In this book you will find the most common “Red Flags” that we’ve discovered assessing RIA firms’ technology and infrastructure. These “Red Flags” fall into 4 categories which pose the largest technology risks to your RIA firm.Backups: Securing and storing copies of your dataDisaster Recovery: Recovering data and getting back up and running after a disasterIT Compliance: Implementing and enforcing controls to comply with industry regulationsCyber Security: Eliminating risk to protect sensitive financial data from cyber attacksOur hope is that by reading this book, you’ll become better educated on the technology risks threatening your firm so you can proactively take action to protect your firm’s valuable internal and client related data, meet all regulatory compliance standards, and sleep better at night.Richard Mabbun is CEO and co-founder of ĪTEGRIA™, a firm which offers technology and security support services exclusively to RIA firms. He has over two decades of experience in deploying technology to address compliance issues affecting the financial services market in general and independent investment advisors specifically. Richard is a frequent invited speaker on the subject of technology efficiencies, challenges, and risks to RIA offices.Julian Makas is COO and co-founder of ĪTEGRIA™. He is an enthusiastic leader and manager who has worked the entire spectrum of information technology helping corporations and SMBs attain their goals of implementing secure technologies and systems. With over 18 years of in-depth information systems exposure, Julian frequently speaks on topics such as cyber-security and his firsthand experience on how drastically the evolution of technology has affected the world around us.Both Richard and Julian share a passion for leveling the playing field and providing technology solutions, management and expertise for small and mid-sized investment advisory firms.