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SmartRIA - SmartRIA Compliance Software

Solutions > Data Governance Platform

Data Governance and Vendor

Due Diligence – Made Easy

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Due Diligence

Automate vendor due diligence and assess vendor security risks.

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Incident Response

Document firm responses to data security incidents.

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Access Controls

Simplify access controls and comply with SEC data protection rules.

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Security Policies

Policy templates for companies, employees and vendors.

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vendor security

VENDOR SECURITY

SmartRIA Governance’s Vendor Security is about more than just automated due diligence of your selected vendors.

  • IDENTIFY – Identify the vendors used across your firm and within your branch offices.
  • EVALUATE – Evaluate risks based on vendors’ cybersecurity policies, procedures and the types of data they store.
  • MONITOR – Monitor vendor attestations, contract status, security news and more.
  • MANAGE – Easily add additional vendors from hundreds of vendors already verified within Smartria Governance.
  • REPORT – Run audit-ready reports on the status of your vendors and who’s using them.

vendor attestations and due diligence templates

 

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INCIDENT REPORTING

What happens when there is a security breach? Is your firm prepared?

  • ALERT – Stay aware of data breaches with push notifications from the vendor due diligence system when breaches are discovered.
  • DOCUMENT – Document internal data breaches and security or policy-related incidents and resolutions within your firm.
  • NOTIFY – Notify your clients of incidents that affect them.

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Employee Data Access - Data Governance

EMPLOYEE DATA ACCESS

The SEC requires firms to protect data, and keep a list of persons with access to data in the firm’s Code of Ethics.

Using SmartRIA Data Governance platform, firms have a simple to use system to monitor, manage and report on employee access across operational systems used.

  • MONITOR – Monitor employee access to sensitive data.
  • MANAGE – Easily manage employee history, access, policy attestations and trainings.
  • REPORT – Immediate ability to update your Code of Ethics whenever employee access to data changes.

Data Governance - Employee Access and Reporting

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policy templates
POLICY TEMPLATES

The SmartRIA Policy Library contains standard policies for companies, employees and vendors. Templates can be downloaded, reviewed and modified as needed.

• Acceptable Use • Background Check
• Business Continuity • Cybersecurity
• Data Breach Response • Data Destruction
• Data Privacy • Data Security
• Email • Incident Response
• NDA • Online Data Privacy
• Password Protection • PII
• Social Media • Third-Party Access
• Visitor Access • Wireless Network Access

Policy Templates for Data Governance

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cybersecurity
Cybersecurity

Use the NIST Framework1 to develop, implement, and maintain cybersecurity processes that meet SEC requirements.

  • IDENTIFY: Understand what needs to be monitored.
  • PROTECT: Develop policies and safeguards for ata.
  • DETECT: Develop and implement processes that identify breaches
  • RESPOND: Develop responses to cybersecurity events.
  • RECOVER: Implement ongoing operations to continuously reduce the impact of a breach. 

1 https://www.nist.gov/cyberframework/resources

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