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How Secure is Your Financial Data?
Five Questions to Ensure your Compliance Software Provider Meets Your Security Needs.
StarCompliance released today a list of key questions for financial institutions to ask about data security measures when selecting a financial compliance software provider.
Financial firms comply with UK Bribery Act
StarCompliance announced today that its compliance software helps financial firms ensure they comply with the UK Bribery Act, which took effect July 1, 2011.
Political Activities ensures political contributions comply with new 'pay to play' rules
StarCompliance announced today the release of its Political Activities compliance software to help Investment Advisers comply with changes in SEC 'pay to play' rules.
StarCompliance is a leading provider of compliance and regulatory solutions for the financial services industry.
The software, which was developed in conjunction with legal experts specializing in SEC, FINRA and FSA regulations, provides Clients with an integrated and streamlined compliance process for managing, preventing, detecting, reporting, enforcing, and resolving employee conflicts and risk surveillance activities through a single application.
Five Questions to Ensure your Compliance Software Provider Meets Your Security Needs
Question 1: Where will our data be hosted? Behind our firewall or externally?
Question 2: Will our data be held on a system alongside the data of other organizations? What risks does that potentially pose to our data? What controls do you have in place to ensure no cross over of data occurs?
Question 3: What outside parties have access to our data?
Question 4: What type of security clearance process do your employees and subcontractors go through? What types of authorization controls are in place for access to our data by employees and subcontractors?
Question 5: Our organization is multinational; does your software meet data protection and compliance regulations in all the territories in which we operate?
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