FINRA: Customer Information Protection for Supervisors
Overview
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.
Find this course for your license
License or Certification
Regulator
Type
Learning Objectives
- 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.
Designed For:
Intermediate
Course Information
Adding additional credit may change exam requirements.
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S2-32 - Framework