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Compliance Checklist

Instructions: Please fill out to the best of your ability.

General Compliance Information

1. Check off each of the compliance requirements apply to your firm:
2. Does your company take credit cards as a form of payment?:
3. Does your company have annual 3rd party Audits?:
4. What is the name of your compliance officer (if in house or name of 3rd party contact):

Security Testing

1. When was the last time your company had an external penetration test done?
2. When was the last time your company had an internal security assessment done?
3. When was the last time your company had a full disaster recovery test done?

Physical Environment

1. Is your network equipment (server/switch/firewall/router) in a secure, locked location with employee restricted access?
2. Is there a mechanism in place to remotely wipe handheld devices of sensitive data if the handhelds are lost?
3. Are there security safeguards to prevent someone from accessing company data by using an external USB stick or external hard drive connected to a user computer?

Data Security

1. Are your security and system logs checked at least monthly?
2.Is there regular checking of system breaches?
3.Do periodic risk assessments occur?
4. Are checks made and records kept of intrusions and responses including reports to regulators, notification of customers, actions taken, etc.