As diverse as the financial services industry is, one fact remains true: cybercrime is at an all-time high. FINRA, the Financial Industry Regulatory Authority, reviews firms’ ability to protect the confidentiality, integrity, and availability of sensitive client information and data, which also includes compliance with SEC regulations. So how prepared is your firm? Don’t waste your time on surveys – they won’t help you write a Cybersecurity Incident Response Plan. But the eSentire FINRA Checklist can help.

With this checklist, you will:

  • Identify security risks and learn how to develop actionable policies and procedures for cybersecurity governance;
  • Protect networks and information systems with strategies, procedures, encryption, and compliance audits;
  • Understand the risks associated with remote access, fund transfers, and third-parties;
  • Better detect unauthorized activity using best practices for incident response.