I don’t normally find FINRA tools to be of much use to IAs, but the Small Firm Cybersecurity Program Checklist is a rare and excellent exception that encourages a collaborative approach to understanding your firm’s risks and developing and implementing a thoughtful cybersecurity plan.
Read MoreHaving sat through countless conference sessions and webinars focused on cybersecurity issues, I can say with 100% certainty that yours was the best I’ve seen. The practical/real world compliance angle separated it from all the others.
- Attendee
Read MorePassword managers encourage single-use, unique passwords and secure sharing of login credentials--protecting you from credential stuffing and account hijacking.
Read MoreCheck out our presentation on Strategic Planning for Compliance and learn how to identify, prioritize, and manage risks using a 5-step process.
Read MoreCredibility is like currency - you spend it, earn more, and can lose it all.
Read MoreInstead of "partnering" with CCOs, the SEC should call for CEOs to partner with their CCOs.
Read MoreMake better decisions together with well-designed governance. Start with a written committee charter to create consensus on the purpose, composition, rules of the road, and duties of the committee.
Read MoreHow ReGroup regrouped by redesigning our website - taking advantage of innovation and managing change.
Read MoreBorrow a page from master marketer Seth Godin to identify what drives your audience so you can communicate your ideas using language that's more likely to be persuasive.
Read MoreA written acknowledgment of professional standards serves to underscore the importance of confidentiality and the expected standard of care from compliance professionals.
Read MoreTake one minute to get unstuck.
Read MoreLearn where we're going by knowing where we've been. Something Ventured recounts the birth of venture capitalism with engaging storytelling and insightful commentary.
Read MoreTen strategies for helping your CEO — and ultimately yourself.
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