Client Data Protection

Overview

This course helps the registered representative understand the importance of protecting client data and the procedures to protect sensitive client data, how to identify potential breaches in information security, and how to proceed if this confidential information is compromised. This course also examines a variety of types of cyber-attacks and the importance of understanding firm policies, procedures, and controls to protect sensitive customer data and to report the suspicious online activity and threats to data integrity.

Learning Objectives

Students who successfully complete this course will be able to:

  • 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

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