Continuity planning is about preserving the ability to communicate, access critical systems, and serve clients when normal operations are interrupted. A useful plan is clear enough to use under pressure.Identify the essential workDefine which systems, records,...
Technology vendors are part of the way an RIA serves clients. A thoughtful due-diligence process helps the firm understand where information goes, who supports each system, and what happens if a vendor has an outage or security event.Ask practical questionsDocument...
Cybersecurity is most effective when it is treated as an operating discipline rather than a one-time technology purchase. For RIAs, a practical roadmap begins by knowing which systems hold client information, who can access them, and how the firm would continue...