finra cybersecurity compliance

CWP Management, Inc. is a busy family office based in Chicago, IL. It looks after the financial affairs of 10 households and 31 family members across 3 generations, but an aging IT infrastructure was weighing down on its President’s time and budget. When disaster struck and their data center was compromised, CWP used the opportunity […]

new york cybersecurity regulations

Spire Investment Partners is an SEC Registered Investment Advisor and a FINRA Licensed Broker Dealer headquartered in McLean, VA with affiliates located throughout the United States. For years, Spire outsourced their IT to a traditional managed services provider. As user needs changed and their business expanded, they turned to Workplace to improve cybersecurity and compliance […]

View the full PDF article To say that security is a big area of concern for wealth managers and family offices would be an understatement. Recent hype about “the cloud” shows that it is often the case that advisors would rather sacrifice convenience to keep their data safe. But as more and more fintech players crop […]