FINRA: Customer Information Protection for Supervisors

Course Description

This course covers concepts to help supervisors implement firm procedures for protecting confidential personal customer information and detecting possible breaches in information security. It provides suggestions for what to do if customer information is compromised and steps to take to better protect this information.

Learning Objective(s)

By taking this course, you will be able to:

  • Better implement and supervise your firm’s procedures for protecting confidential personal customer information.
  • Detecting possible breaches in information security.
  • Know what you should do in the event that either you — or a registered representative that you supervise — suspect customer information has been compromised.
  • Know steps you can take to better protect this information.

Complexity

Intermediate

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