30
Sep
2015

For Your Eyes Only: Segregating Investor Data

By Werner Medrano, CTO of InvestorFlow
An Emerging Best Practice is the Isolation of all Investor CRM & Portal Data
The increasing threat of cyberattacks has caused CFOs and IT professionals at alternative investment firms to rethink the strategy of a single CRM to support investors and deal professionals. Investor data is the most sensitive information held by alternative investment managers. Any breach could result in at a minimum fines by the SEC and public embarrassment.

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30
Sep
2015

SEC Fines Investment Advisor under the Safeguards Rule

By Ben Mazza, COO of InvestorFlow
R.T. Jones Failed to Adopt Written Policies and Procedures Reasonably Designed to Safeguard Customer Information.
Last week the National Law Review posted an article that all investment advisors should read. It is titled, SEC Says No More Mr. Nice Guy on Investment Adviser Cybersecurity.

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08
Aug
2015

Ignore Emails from Limited Partners When They Ask to Change Wire Instructions

By Ben Mazza, COO of InvestorFlow
FBI tracking $800,000,000 in wire fraud due to a simple email scam.
I've worked with fund administrators, CFOs and controllers for the last 15 years. I've heard many stories about a firm's limited partner who requests distributions or redemptions via email.

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14
Jul
2015

Asking Permission is Mandatory Says the IRS

By Ben Mazza, COO of InvestorFlow
You need to ask for permission now before sending K-1s online. Here's the text you can use.
In my 15 years of offering investor portals to alternative asset firms, fund managers never needed to ask investors if there should be an online portal to share information.

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