Webinar Replay: Compliance Is About More Than Paperwork, Cybersecurity is Taking Center Stage

Posted by Broker-Dealers Registered Investment Advisors Webinars No Comments

Is It Time For CCO’s To Step Up To Technology Decisions at RIA’s?

A startling realization is dawning on Chief Compliance Officers at RIAs. After years of focusing on documentation that proves employees are behaving properly, regulators are calling upon CCOs to step up and make crucial decisions about cybersecurity at their firms. Understandably, many RIAs have yet to adjust to this changing landscape. If you missed our webinar you can join hosts Jason Claycomb and Justin Kapahi in the recorded session for a discussion on how to keep your firm compliant, complete with advice for CCOs who may be taking their first steps into the world of cybersecurity. Watch Here

Download Recording & Slides Here

External IT Webinar Family Offices

Learn How Family Offices Can Leverage Technology Solutions to Improve Operations and Security

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Family Offices, Enhance Your Operations with New Technology

The role of technology in financial services only continues to increase in importance and Family Offices are positioned uniquely to benefit from these advancements. Family offices often have distinct and complex technology needs with areas such as security, compliance, integration, mobility, and business continuity top of mind. These complexities coupled with a limited staff and resources has many family offices searching for new solutions to address these challenges. Join speakers Steve Draper, Family Office Exchange and Justin Kapahi, External IT to discuss new technology solutions to improve operations without risking security and business continuity.   Read More

External IT Webinar SaaS Vendors

Third Party Due Diligence Webinar, How Secure is Your Client Data?

Posted by Article Asset Managers Broker-Dealers Registered Investment Advisors Webinars No Comments

What should you expect from your third-party software providers, SaaS Vendors?

The SEC, FINRA and other regulators have increased expectations of RIAs and broker-dealers – with cyber security and disaster recovery top of their list. Increased regulatory scrutiny and the proliferation of hacking attempts on the financial services sector makes the selection and ongoing validation of third-party software vendors increasingly important to your firm.  Read More

External IT Webinar September 2015 OCIE Alert Response

Cybersecurity Efforts Still Falling Short at Your Firm? Webinar Response to September 2015 OCIE Risk Alert

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On November 19, 2015 Jason Claycomb, Corporate Governance Officer at External IT, and Justin Kapahi, resident security expert at External IT discussed the implications of the September 2015 Risk Alert from the SEC’s Office of Compliance Inspections and Examinations.

Learning Objectives:

      • Apply the results from OCIE’s 2015 Cybersecurity Examination Initiative to augment your firm’s cybersecurity preparedness
      • Prepare for OCIE Cybersecurity exams
      • Develop the necessary procedures to effectively manage your cybersecurity
      • Assess risk associated with using a vendor
      • Establish an incident response program

Watch the Webinar Here

External IT Webinar Expert Panel Roadmap

Expert Panel: Set your firm’s technology road-map to enable growth and compliance.

Posted by Asset Managers Webinars No Comments

Join experts from Microsoft®, Nexus Strategy and External IT in a lively dialogue on building the future financial services firm using compliant cloud technologies and Office 365.  

Technology is increasingly becoming the main driver of enhanced practice management and how firms are able to differentiate themselves. Building a firm that’s going to thrive in the future means taking advantage of significant technological innovations available today.

Learning Objectives:

  • The difference between compliant and regular Cloud platforms
  • How External IT + Office 365 is changing the way people work, share and communicate
  • The benefits of cloud vs in-house for RIAs, Broker-Dealers and Asset Managers
  • How a cloud solution is supported – locally and remotely

View Webinar Recording & Slides

External IT Webinar Cybersecurity: Is Your Firm Ready?

SEC Focus On Cybersecurity: Is Your Firm Ready?

Posted by Registered Investment Advisors Webinars No Comments

Join host Jason Claycomb, a Corporate Governance Officer with over 28 years experience, and Justin Kapahi, Resident Security Expert at External IT, as they discusses what it means to be compliant and how to address the cyber threats to your business.

The Securities & Exchange Commission is stepping up its focus on RIAs and Broker-Dealers to ensure that firms are meeting its cybersecurity mandates. This Webinar helps financial advisory firms to become more aware of the threats they face and prepare for examinations being conducted by the SEC’s Office of Compliance Inspections and Examinations.

Learning Objectives:

        • Key SEC OCIE mandates and requirements facing all advisors
        • The top security issues facing advisors today
        • The steps you can take to protect your business and your customers
        • How cloud computing technology can help you effectively address cybersecurity
          and mobility issues

Watch the Webinar