Good data security practices for financial advisors are more important than ever, and so are the security controls that their vendors have in place. Here are some things to keep in mind as you evaluate your vendors.
Orion’s turnkey Compliance solution for RIA firms and financial advisors has been named the winner of the Family Wealth Report Awards’ Compliance category.
OFAC (Office of Foreign Assets Control) regularly posts updates to its list of Specially Designated Nationals (SDN) and Blocked Persons that identifies individuals and companies owned or controlled by, or acting for or on behalf of, specific countries as well as individuals, groups and entities, such as terrorists and narcotics traffickers.
Just as a new year seems to give new life to people and businesses everywhere, it also brings new initiatives and focus to organizations like the Securities and Exchange Commission (SEC). In a recent speech to the New York Times DealBook Opportunities for Tomorrow Conference, Chair Mary Jo White spoke about what the SEC will be focusing on in the year ahead for the asset management industry.
The next time you think you’re having a bad day at the office, just remember that employees at the Securities and Exchange Commission misplaced as many as 202 laptops that may contain sensitive, nonpublic information.
In the classic Aesop fable “The Lion and the Eagle,”an eagle attempts to convince a lion to form a mutual alliance. The lion, however, is skeptical and says “How can I trust anyone as a friend who is able to fly away from his bargain whenever he pleases?”