Family Offices Archives - workplace

Analysis of FINRA 2017 Exam Finding and 2018 Exam Priorities

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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?

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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

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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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How one family office saved time, money and a lot of hassle by moving to Workplace

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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 to migrate to Workplace.



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INTERVIEW: Workplace On How, Why The Industry Is Opening Up To The Cloud

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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 up, the industry seems to be slowly warming to the idea, and, here, Sam Attias of Workplace lays out some reasons why.

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