IT Security Assessment for Investment Advisor

A leading multi-family office and an independent investment advisor, the company was established to service clients with their investment and life needs.

The project

The client was seeking professional insights into whether their existing processes around managing their new financial assets / products were secure, hence they consulted Adnovum regarding their IT security risks. They wanted to assure stakeholders of the level of IT security within the company.

The goal: To secure and prepare the processes, tools and people involved in the management of new financial assets / products in close cooperation with both business and IT units.

The process: In a first step, Adnovum evaluated the IT requirements around management of the new financial assets. In a second step, it recommended and provided support in implementing IT security controls. It also supported the launch of the new asset trading.

The result: Processes are streamlined, yet still secure and accepted by the client. Operations were presented and walked through with the regulator. In addition, a regular security checklist and a governance framework are now in place. All recommendations are based on ISO 27001/27002.

The client is a leading multi-family office and an independent investment advisor, established to service clients with their investment and life needs.

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Benefits

Increased stakeholders’ confidence on IT security

Increased management’s confidence and awareness on IT security risks

Addressed critical risks identified

Improved security posture of the people, processes and tools handling the assets