|
|
Legal Opinion
|
 |
 |
 |
 |
|
|
Test Your Computer NOW for Spyware, Hacker Tools and Other Threats
|
|
 |
 |
 |
 |
|
|
|
|
|
|
|
About ASI
|
|
Advisor Security Inc (ASI) provides services, products, education, and tools that help Broker-Dealers
assist their Independent Financial Advisors in complying with the Firm's security policies, GLBA and
other information security regulations.
|
|
The platform used to deliver the ASI services
and tools to your Advisors is an online Compliance
Center branded under your Firm’s name
and logo and accessed through your intranet
site. |
|
|
Within the Compliance Center is the ASI Compliance Dashboard. This tool is used to monitor, implement
and maintain all of the information and activities required for your Advisors to remain compliant with
security law.
|
|
|
The dashboard provides the ability to print a complete "on demand" Information Compliance Audit Package
which demonstrates that risks are being managed by Advisors on an ongoing basis. It is simply not
enough for your Advisors to create a plan they must be able to prove that risk mitigation procedures
have been implemented.
|
|
|
The end result of encouraging your Advisors to participate in the ASI Advisor Compliance and
Practice Protection Program is the security of knowing that your Advisors have created, implemented,
and documented a set of information security "Best Practices" and business continuity procedures that
allows both the Advisor and your Firm to demonstrate to regulators, auditors, customers and courts
that your Firm has invested a high degree of professional effort to comply with privacy policies and
the law in order to protect private client information
|
|
|
|
|
|
|
|
