Industry Compliance

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Financial Services

Secure Email for Financial Service Professionals

Why do I Need Secure Email as a Financial Services Professional?

Financial Service professionals are responsible for client sensitive data in electronic communication. Email being the most common format of electronic communication.

  • Financial Service professionals are responsible for protecting critical client sensitive information from the occurrence of a data breach.
  • Data Breaches routinely encompass nonpublic personal identifiers which are the main source of identity theft.
  • Emails are considered vulnerable to unauthorized access and need to be protected in order to prevent a breach of personal private customer data.
  • Financial Service professionals are required to safeguard the security and confidentiality of client information in physical or electronic form.

Secure Electronic Signature

Why do I Need Secure eSignature as a Financial Services Professional?

Financial Service Professionals who utilize secure electronic signature services increase productivity, create greater accuracy, maximize security, and maintain a complete audit trail.

  • The use of Electronic signatures close client transactions faster and increase profitability.
  • Proof of signature and detailed audit trails are present with electronic signature, this provides a legal evidence log and meets industry requirements.
  • Maximize the security of all documents with encrypted electronic signature to provide your clients with maximum personal protection.

Compliance With Regulations

What Regulations Must I Comply With as a Financial Services Professional?

Financial Service Professionals who use secure email and secure electronic signature provide the best security for their clients and ensure the best chance for not experiencing data breaches or regulatory violations.

  • Gramm-Leach-Bliley - GLBA, 15 USC 6801– 6827
    • GLBA applies to companies which offer consumers financial products or services like loans, financial or investment advice, tax assistance or insurance.
    • The personal information covered by the GLBA is termed “non public personal information,” which means “personally identifi able financial information — provided by a consumer to a financial institution; resulting from any transaction with the consumer or any service performed for the consumer; or other wise obtained by the financial institution.”
    • GLBA requires companies which offer consumers financial products or services to encrypt electronic customer information, including when in transit or in storage on systems where unauthorized individuals may have access.
    • A fine of $10,000 per infraction can be charged for noncompliance with the law.

  • AICPA, Section 301
    • A member in public practice shall not disclose any confidential client information without the specific consent of the client.

  • Electronic Signatures in Global and National Commerce Act (E-Sign Act)
    • Section 101(d) provides that if a law requires that a business retain a record of a transaction, the business satisfies the requirement by retaining an electronic record, as long as the record "accurately reflects" the substance of the contract and is "accessible" to people who are entitled to access it "in a form that is capable of being accurately reproduced for later reference, whether by transmission, printing or otherwise."

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