RIA Compliance Consultants has compiled a 15 page list of cybersecurity and information security best practices that can be used to assess the state of your firm’s information security policies. RIA Compliance Consultants continuously monitors cybersecurity news and updates this checklist when new best practices surface.
Included with Bronze, Silver, Gold and Platinum Package.
Last updated February 2022.
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This sample document is not intended to detect or prevent fraud, selling away, Ponzi schemes, undisclosed outside business activities, inaccurate or false fee calculations, theft, misappropriation or unlawful conversion of client funds.
Due to changes of investment adviser laws and rules, this sample documented may become outdated and need to be updated or discontinued. RIA Compliance Consultants, Inc. will not be providing any subsequent updates of this sample documents to the purchaser. Likewise, RIA Compliance Consultants, Inc. will not be monitoring and reporting to the purchaser any issues related to the use of this sample document.
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