Safeguarding Customer Records and Information in Network Storage – Use of Third Party Security Features

Topic: Security risks associated with the storage of electronic customer records and information by broker-dealers and investment advisers in various network storage solutions, including those leveraging cloud-based storage

Key takeaways: This Risk Alert highlights risks associated with the storage of electronic customer records and information by broker-dealers and investment advisers in the cloud and on other types of network storage solutions. 

View the Risk Alert: Safeguarding Customer Records and Information in Network Storage - Use of Third Party Security Features (PDF)