Broker-Dealers Archives - workplace

Analysis of FINRA 2017 Exam Finding and 2018 Exam Priorities

Posted by Asset Managers Audience Broker-Dealers Family Offices Registered Investment Advisors White Papers No Comments
Our observations about FINRA’s 2017 Exam Findings, 2018 Priorities and their potential relevance for Broker-Dealers

There was no shortage of headline-grabbing cyber-related events in 2017; leaks from Equifax, Verizon and Deloitte as well as the WannaCry ransomware attack. It is clear from reading these FINRA missives that cybersecurity and technology risks continue to consume the financial services community. Cybersecurity is essentially a stand item on FINRA’s annual examination roadmap, and its inclusion again in 2018 further solidifies this conclusion.

 
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Are you doing all you can to protect your data properly?

Posted by Asset Managers Audience Broker-Dealers Family Offices Registered Investment Advisors White Papers No Comments
Dealing with cybersecurity incidents is not a question of ‘if’ but rather ‘when’ it happens

Cybercrime continues to be a very serious problem in the financial industry. The number and sophistication of malicious attacks has increased over the last few years and is not expected to slow down anytime soon. While the latest OCIE alert shows a marked increase in overall cybersecurity preparedness and awareness by advisors and broker-dealers, there are still areas where firms are failing. This white paper details our observations in the field and provides real-world guidance to the security issues advisors and broker-dealers are facing on a daily basis.



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Not all clouds are equal: demystifying the ‘public vs. private’ debate

Posted by Asset Managers Audience Broker-Dealers Family Offices Registered Investment Advisors White Papers No Comments
Is the cloud secure enough to support a wealth management firm’s critical company information?

Ask a wealth management colleague to define “the cloud” and you are likely to get a vague response. Even among IT experts the term “the cloud” can have different meanings. And despite the fact that cloud computing has become the IT norm, questions remain about its security.  The truth is not all clouds are equal in infrastructure and in management.  This white paper is for wealth management professionals who seek to understand “the cloud” and how these technologies can support their overall business goals.



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SaaS and you: how to safeguard your client data in the cloud

Posted by Asset Managers Breakaway-Advisors Broker-Dealers Family Offices Registered Investment Advisors White Papers No Comments
Are Your SaaS Applications Safe?

If your firm is like most modern wealth management firms, you use a variety of business and financial software packages, many of them “in the cloud.” Unfortunately, security controls vary significantly from one SaaS provider to the next. Read our white paper to learn what to look for when selecting SaaS vendors, as well as additional security measures you should implement to protect your firm.



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FINRA intensifies cybersecurity guidance for Broker Dealers

Posted by Broker-Dealers White Papers No Comments
Prepare for a regulatory deep dive as computer-based threats grow in importance

Broker dealers are becoming bigger targets as regulators clamor to strengthen the cybersecurity practices of financial institutions. Due to its mandate of protecting investors and market integrity by overseeing securities firms, the Financial Industry Regulatory Authority (FINRA) has taken a leading role in this initiative. The alarming truth is that many broker dealers have failed to stay up to date with cybersecurity controls. This white paper details how broker dealers can get in compliance with FINRA’s technology-related rules.



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How Workplace was the perfect partner for this Broker Dealer

Posted by Broker-Dealers Case Studies No Comments

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 security and compliance controls, while improving overall user experience and productivity.



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