Client Data Protection

Overview

This course helps registered representatives understand the importance of protecting client data, identifying potential breaches, and responding to compromised information. It covers various types of cyber-attacks and emphasizes firm policies, procedures, and controls to protect sensitive data and report suspicious activity.

Find this course for your license

License or Certification

Regulator

Learning Objectives

understand different types of security breaches
understand the importance of knowing your firm’s policies, procedures, and controls to protect sensitive customer data
understand Regulation S-P's notice requirements
recognize and report suspicious online activity and threats to data integrity

Designed For:

All registered representatives and principals

Course Information

Adding additional credit may change exam requirements.

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