Blogs

For most RIAs, the choice between EDR and MDR comes down to one practical question: does your firm have people ready to act on a threat alert at 2 a.m. on a Sunday, or do you need a team that already does? Endpoint Detection and Response (EDR) is software that watches your laptops, servers, and workstations for suspicious activity. Managed Detection and Response (MDR) adds trained analysts who monitor that software around the clock, investigate what it finds, and respond befo

Every RIA examiner request starts the same way: produce the emails. Choosing between Smarsh, Global Relay, and Microsoft for compliance email archiving comes down to how much retrieval, supervision, and eDiscovery work you want your archive to handle on its own versus how much your compliance team will manage manually.

The challenge in 2026 is knowing exactly what "real" means when Regulation S-P has changed, examiners have sharpened their questions, and most template policies were written before either happened.

The RIA industry has grown dramatically over the past decade. SEC data shows 15,441 registered advisory firms in 2023, up 35% from 2009, while regulatory assets under management climbed from $39.4 trillion to $128.8 trillion.

Microsoft 365 security hardening for financial firms in 2026. Identity, email, data protection, endpoint, and compliance configurations for FINRA and SEC.

Complete SEC Rule 17a-4 compliance guide for broker-dealers in 2026. Covers WORM, the 2023 electronic recordkeeping amendments, retention, and audit trail requirements.