SmartRIA Governance™ is an easy-to-use platform that provides compliance solutions to manage:
Data Governance & Due Diligence
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 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 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.
REQUEST A DEMO »
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.
REQUEST A DEMO »
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.
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.
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.
REQUEST A DEMO »
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.
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.
POLICY TEMPLATESThe 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
REQUEST A DEMO »
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 |
| • Incident Response | |
| • NDA | • Online Data Privacy |
| • Password Protection | • PII |
| • Social Media | • Third-Party Access |
| • Visitor Access | • Wireless Network Access |
CybersecurityUse 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
<
REQUEST A DEMO »
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
Join more than 1,400 firms with over $175B in AUM who are already simplifying compliance with SmartRIA.
1400Wealth Management Firms
175Billion Dollars in Assets Under Management