New Electronic Safeguarding Measures from FINRA

Dec. 2010


Confidentiality. Privacy. Safeguarding concerns. These are key areas of focus in examinations and
enforcement actions by both FINRA and the SEC. As our technologies continue to advance and
reliance thereupon grows ever stronger, security controls for protecting confidential nonpublic
personal information is paramount.


To read the full PDF article, click here.

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