RIA Data Security Webinar By Compliance Whiz Chris Winn Receives A 4.7 Rating From Attendees Hot
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RIA data-security practices, one of the touchiest topics of our time, was the subject of this week’s A4A webinar. Chris Winn, an authoritative source on the topic, says RIAs are being watched, and the picture isn’t all that pretty. “Everybody has their eyes on us,” says Winn. “The regulators are focused here. But likely the folks spending the most time on this are the fraudsters.”
Fraudsters, based on Chris Winn's description, are business terrorists. They spend 1,000 times more effort trying to defraud you than you are likely to spend on protecting yourself. So the bad guys are always one or two steps ahead of some people.
It’s an eternal struggle of good versus evil and you are responsible for private client financial data — the most sensitive information in people’s lives — and you are obliged to engage in activities demonstrating your commitment to protect client data. Watching this webinar is a good idea for advisors. In fact, this is one of those sessions you might need to listen to twice.
You don’t need to be an A4A member to view this webinar. It’s open to all advisors, to give you a taste of the content A4A has produced weekly since the October 2008 financial crisis.
A4A has a library of hundreds of in-depth lessons taught by thought leaders from all areas of the financial advice profession. CFPs, CPAs, CFAs, CIMAs, CPWAs, and EAs, as well as ChFC-, CLU- PACE professionals receive unlimited 24/7 continuing education credit for $60 a year. (CPAs only receive credit on live sessions, however.)
This is the first of several A4A sessions planned for 2015 in which Chris Winn will address regulatory compliance for RIAs.
Chris Winn, whose consulting firm, AdvisorAssist, works with hundreds of RIAs from across the country, is working with A4A to design a curriculum to support RIAs in managing regulatory compliance in 2015. Please give us your suggestions about the structure or content of the 2015 program.
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