RIA

Effective Risk Management

/ API, Author Cheri Hotman, Author Julia Concolino, Compliance, Cybersecurity, Ransomware, RIA
Effective Risk Management As the owner of Hotman Group, Cheri Hotman emphasizes the importance of keeping your business and client information safe. Cheri discusses the need for small businesses to be good stewards and protect what they have built. She highlights the significance of aligning regulatory practices with client needs rather than just following mandatory [...]

Effective Risk Management Read More »

SEC-Compliant RIA Website

Tips for SEC-Compliant RIA Websites

/ Audits, Author Fizen™, Cybersecurity, Fizen™, 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

Tips for SEC-Compliant RIA Websites Read More »