Compliance Solutions for Investment Advisers

Some Tips for Safeguarding Client Info

Six good safeguarding tips:

  1. Shred financial documents and other printed personal material before discarding.
  2. Do not leave your laptop computer, iPad, iPhone or Blackberry in your car (or Starbucks) unattended.
  3. Do not leave a computer you are logged on to unattended or unprotected.
  4. Do not share your passwords with other persons (and do not post it next your computer).
  5. If you have sensitive printouts, don’t leave them lying around where unauthorized, prying eyes can see them.
  6. If you use your home computer for business purposes, follow all company policies for handling and storing work-related information.
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