Audits

SEC-Compliant RIA Website

Tips for SEC-Compliant RIA Websites

/ Audits, Author Fizen Technology, Cybersecurity, Fizen Technology, IT Support, Managed IT, Productivity, RIA, Teaching Others, Team Building

Creating an SEC-Compliant Website for RIAs In today’s digital era, maintaining an online presence is crucial for Registered Investment Advisers (RIAs). However, when it comes to financial services, ensuring that your website complies with the Securities and Exchange Commission (SEC) regulations is not just best practice—it’s essential. Let’s delve into what’s needed for an SEC-compliant …

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Streamline Compliance with Regulatory Technology

/ Audits, Author Julia Concolino, Cybersecurity, IT Support, Managed IT, Productivity, Ransomware, Teaching Others, Team Building

Streamline Compliance with Regulatory Technology At Fizen Technology, we know that compliance is a major pain point for many of our customers. Keeping up with constantly changing regulations is difficult enough without inefficient, risky manual processes slowing you down. That’s why we’re hosting an informative webinar exploring how regulatory technology can optimize your compliance. Join …

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Implementing Internal Controls for EGRC

/ Audits, Author Jared Knisley, Compliance, IT Services, Productivity
Internal Controls for EGRC Banks hold a pivotal position in the global economy. It is imperative to uphold strong Enterprise Governance, Risk Management, and Compliance (EGRC) practices to ensure their success and stability. A crucial element of maintaining EGRC within a bank lies in the implementation of robust internal controls. Internal Controls Internal controls in …

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