by Krisan Marotta | Aug 10, 2015 | SEC Audits
One manager here in Virginia recently enjoyed a surprise SEC Audit. When the examiner learned she had client user ids and passwords (so that she could access their 401k plans to retrieve statements for manual entry), the examiner had her log on to each account. He...
by Krisan Marotta | Sep 5, 2013 | SEC Audits
In the wake of recent security and privacy scandals, many managers are asking what else they could be doing to protect client data. While I am no security expert, here are are few quick & easy ideas to help you better protect client data. 1. Remove unnecessary...
