RIA Fined By SEC After Hacker Uses E-Mails
To Steal Client Funds

RIA Fined By SEC After Hacker Uses E-Mails to Steal Client Funds

Source: FA-mag.com

This firm tried to service clients more efficiently and used some shortcuts that back fired. I think this is a great example of the state of our industry: being asked to do more with less and that the client experience is the highest priority. That said, we think the ultimate solution to this requirement is enhanced BPM – workflow automation. These are the new tools that allow a client to provide quality service and enable internal controls.

Craig Cook, President Oakbrook Solutions

November 4, 2013

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