We hope you are staying well and staying safe during these uncertain times. In an effort to try to assist you with recent legislation that covers both tax and non-tax matters, we wanted to alert you to the tax changes that may affect you and......
30 March, 2020
While social media by itself may not seem like a threat to your business, ignoring best practices around cybersecurity makes it easy for scammers to exploit your firm’s data. Neglecting privacy settings invites cybercriminals to use personal information in ways that could be detrimental to the security and reputation of your firm. In fact, more than one in eight enterprises have suffered security breaches through a social media cyberattack....
27 November, 2019
While social media by itself may not seem like a threat to your business, ignoring best practices around cybersecurity makes it easy for scammers to exploit your firm’s data. Neglecting privacy settings invites cybercriminals to use personal information in ways that could be detrimental to the security and reputation of your firm. In fact, more than one in eight enterprises have suffered security breaches through a social media cyberattack....
16 October, 2019
Examiners are focused on cyber and data risk management more than ever. A Chief Compliance Officer (CCO) ensures that a firm is complying with regulatory requirements and that the firm and its employees are complying with internal policies and procedures. However, with all the focus from the SEC and FINRA on cyber, just managing policies and procedures is not enough....
02 October, 2019
Many firms are concerned with the expense and administrative load associated with fulfilling the role of a CCO. Broker-Dealers and RIA’s may consider forming an alliance with an outsourced firm to address some of their internal concerns while filling this role. Communicating with regulators is an art, the right outsourced partner can bring the competence and knowledge required to build and support your operation and oversight of your firm’s compliance program....
27 August, 2019
Are you a broker-dealer who keeps their financial operations functions in-house? Are you interested in cutting operating costs and increasing efficiency? Could your firm benefit from broader and deeper knowledge?...
15 August, 2019
Many companies spend a lot of money, time and effort securing their internal systems to avoid being the next firm making headlines because of an avoidable security breach. From phishing to data loss to DDoS attacks, there are a variety of methods that hackers can use to exploit vulnerabilities. With SDDco, consultants will fully manage the process, putting plans and actions in motion for any data security incident....
25 July, 2019
What would you do if you came across an imposter website of your firm’s actual site? Recently, several member firms notified FINRA that they’ve been victims of imposter websites with malicious intent. These copycat sites are designed to obtain sensitive data and potentially commit financial fraud. In some cases, email domains are created to correspond to the imposter site making it seem legitimate. Who would know otherwise?...
18 July, 2019WHO WE SERVE
SCOTT DANIELS
Chairman and Founder
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