November 16, 2019. FIN
Compliance is pleased to announce a strategic relationship with Delve Risk
Solutions ("Delve") in an effort to assist firms in matters relating to cybersecurity,
risk management, and general cloud security consulting.
Delve will join the FIN Compliance vendor referral network of partners in: Practice
Management, Marketing/Social Media, Accounting, and more. About Delve - https://delverisk.com
Cyber Risks are growing for investment firms
and financial networks
Delve was founded on
the principle of bringing deep cybersecurity expertise and thought leadership
beyond the boundaries of banks and mega multinational corporations.
Delve and FIN Compliance recognize the industry needs for policy implementation and education. According to a 2019 Investment Advisor examinations report, state securities administrators discovered cybersecurity deficiencies in 26% of the state registrant firms examined during a six month period. SEC Registrants, representing some of the largest investment firms in the country, also face issues related to cybersecurity controls as highlighted in a SEC OCIE Risk Alert also produced from its own examination findings.
Delve and FIN Compliance recognize the industry needs for policy implementation and education. According to a 2019 Investment Advisor examinations report, state securities administrators discovered cybersecurity deficiencies in 26% of the state registrant firms examined during a six month period. SEC Registrants, representing some of the largest investment firms in the country, also face issues related to cybersecurity controls as highlighted in a SEC OCIE Risk Alert also produced from its own examination findings.
Delve helps firms interpret and implement its cybersecurity policies. The practice relies on leveraging
its experience in managing some of the largest cybersecurity programs in the world
and delivering a rationalized approach to organizations of varying sizes,
complexity and scope.
The firm maintains a key focus on business execution and balancing risk.
The firm maintains a key focus on business execution and balancing risk.
Its primary services include
senior management/executive advice on cybersecurity, risk
management, best practices with innovation, and in providing assistance for technology
leaders as they join new firms and teams.
Delve also engages with
start-up and established technology organizations to shape customer messaging,
sales education, and to develop go to market strategies towards
its customer segments.
Cybersecurity
Review Services
Delve aims to help
organizations balance and manage their technology and business risks.
Its range of services include: (1) security policy review/creation/support; (2) incident
response plans for breaches, and (3) cybersecurity health checks to ensure that risks are
being appropriately managed when factoring in a firm’s
business operations and workflows.
Delve, along with FIN Compliance, is also available to help leaders in addressing
advisor regulatory requirements associated with cybersecurity and data privacy.
FIN Compliance Vendors/Referral Network
Delve will serve as a part FIN Compliance's vendors referral network that includes: Atlas Park (Practice Management), Elite
Viviant (Marketing/Social Media), and more.
Select vendors may choose to advertise on our Vendor Offers Directory for a fee.
Select vendors may choose to advertise on our Vendor Offers Directory for a fee.
About FIN Compliance
FIN Compliance (FinCompliance.io) is a consortium of compliance, consulting, and
business management solutions designed to help boutique investment firms to
structure, maintain, and develop their internal regulatory review
programs.
Our product line consists
of: RIA Consults-Roberson Consults Group, a compliance consulting
firm, RIA Review, a compliance-management system, B-D Review, a
Hybrid-management system (est. in 2020)*, and FIN Lancer, a
Business/Task Management system.
Access
all services on one site: FINCompliance.io.
RIA Registration Services: New/existing firms.
RIA Compliance Consulting: Ongoing/annual services.
Compliance Management System: Online portal.
Business Management System: Online portal.
Advisor Transition Support: RIA Matchmaking/continuity services.
Business/Referral Network: Inquire about advertising/consulting projects.
Our Approach
Compliance Management - We work with companies who are seeking to manage their compliance obligations - serving more than 175+ firms with compliance services and a system of SEC and state regulatory resources located on one site.
Business Management - We provide firms with task-management processes and a business directory to connect with other firms for continuity, succession planning, partnerships, and deal flow. Also, we have a small network of referral partners for practice management, operations workflows, accounting, and website design.
Needs Analysis Workflow - We work with firms in determining their compliance management priorities. During/after a need’s analysis, we provide firms with compliance/business service options to address those needs and will provide firms with sample workflows for task delegation purposes.
Audit Preparation - We help firms in addressing compliance deficiencies while acting as an intermediary for resolving issues between (you) the advisor and regulators/examiners. We can also assist firms in audit prep measures.
Regulatory Changes - We research regulatory updates from state, SEC, and/or FINRA jurisdictions. We’re here to help as some rules/regulations may be amended over time.
About FIN Compliance
FIN Compliance (FinCompliance.io) is a consortium of compliance, consulting, and business management solutions designed to help boutique investment firms to structure, maintain, and develop their internal regulatory review programs.
Our product line consists of: RIA Consults-Roberson Consults Group, a compliance consulting firm, RIA Review, a compliance-management system, B-D Review, a Hybrid-management system (est. in 2020)*, and FIN Lancer, a Business/Task Management system.
Impact/Missions
FIN Missions (FINmissions.com) provides business/vision support group sessions for other entrepreneurs and youth mentoring. In addition, Cory has volunteered for more than fifteen youth programs in locations such as like S. Korea, China, S. Africa, Thailand, and India.
Contact: Cory Roberson - Cory@RIAconsults.com
Contact: Cory Roberson - Cory@RIAconsults.com
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