Financial Services
Email and Text Message Archiving for Financial Advisers: What the SEC Expects
If an adviser or broker-dealer uses a channel for business communications, the SEC expects those messages to be captured, retained for the required period and produced on request. That includes email, Teams and Zoom chat, and text messages, and it ...
Regulation S-P Amendments: What RIAs and Broker-Dealers Must Have in Place
The amended Regulation S-P requires SEC-registered investment advisers, broker-dealers and other covered institutions to have a written incident response program, notify affected customers within 30 days of becoming aware of unauthorized access to ...
The Autonomous Advisory Firm: How One RIA Runs Its Operations with AI Agents That Never Clock Out
The Autonomous Advisory Firm: How One RIA Runs Its Operations with AI Agents That Never Clock Out This isn’t about asking AI a question and getting an answer. It’s about AI that runs your firm’s operations while you run your clients. Most AI ...
Cybersecurity for Financial Services: What the SEC, FINRA, and Your Insurance Carrier All Agree On
Regulators and cyber insurers ask financial firms for largely the same core controls: multi-factor authentication, endpoint protection, tested backups, tight access control, a written incident response program, email security and archiving, vendor ...
AI for Financial Services: What Advisors, Wealth Managers, and Finance Teams Need to Know
AI can save advisers and finance teams real time on drafting, meeting notes and document review. Used well, it needs approved tools, clear rules about client data, archiving that captures what it produces, and a person who reviews anything that ...
Are You Familiar With My Financial Platform? (CRM, Portfolio, Compliance & Trading Systems)
Probably. We support the technology environment around the CRM, portfolio, planning, archiving and custodian platforms advisory firms rely on, and if yours is new to us, we'll learn it and tell you plainly where our support ends and the vendor's ...
Do You Help Financial Advisors and Firms Stay SEC, FINRA, and GLBA Compliant?
Yes. NerdSquad helps advisory firms, broker-dealers and other financial businesses put the technology controls and documentation in place that Regulation S-P, FINRA rules and the GLBA Safeguards Rule call for, and we support you through examinations. ...
What Makes Your IT Support Different for Financial Services Firms?
We plan your IT around the obligations financial firms actually carry: customer data protection under Regulation S-P or the GLBA Safeguards Rule, communications archiving, incident response, vendor oversight and the controls your cyber insurer asks ...