Unfortunately, there's too much confusion today surrounding cybersecurity on Microsoft 365 which is a huge problem for FINRA firms needing to meet rule 17a-4.
https://mma.prnewswire.com/media/2831025/AdvisorVault_AdvisorVault_s_Four_Steps_to_FINRA_Level_Cybersecur.jpg
Especially for small firms without in-house tech support helping them get on point with todays threats. But its critical they get it right or they leave themselves open — often facing the risk of compromising their reputation — or worse, huge fines for negligence.
But since the cloud isn't 17a-4 compliant out-of- the-box (surely NOT by FINRA standards), AdvisorVault has created a four-step approach designed just for small FINRA firms ensuring FINRA level cybersecurity on Microsoft 365. With this, firms get a clear path to 17a-4 compliance on the Microsoft Cloud ensuring its secured & monitored keeping FINRA happy.
AdvisorVault's four step approach to FINRA cybersecurity on the Microsoft Cloud:
Step OneInstall “In-line” email filtering protecting email communications on Microsoft 365 with these features:
— Advanced AI based email filtering
— Securing internal, external & outgoing messages before reaching user's inbox
— Protection against anti-phishing, malware, ransomware with file & attachment scanning
— With real-time click prevention for URLs with URL rewriting and data loss prevention & encryption
Step TwoInstall plug-in to secure & monitor the Microsoft tenant with:
— Proactive monitoring & security with best practice cloud security configuration
— Detection of logon from unknown locations or devices; identify unauthorized applications installed by employees
— Audit tracking of changes in security configurations; blocking suspicious sign-ins on; instantly disable compromised accounts
Step ThreeRealtime endpoint security anti-virus software:
— For desktops, laptops, physical & virtual servers, macOS, iOS, iPhones & android devices
— Including local application scanning of web traffic, blocking known and unknown malicious websites, files, scripts; phishing attempts, antivirus, anti malware detection
— Ransomware scanning mitigating abnormal encryption attempts; blocking the process & restoring files from backup copies to their original location if compromised
Step FourImplement employee Security Awareness Training including:
— Automated testing with training, teaching firms' employees about cyber attacks,
— Simulated phishing scenarios helping employees understand todays risks; enforce cybersecurity within the firm; helping learn to better protect themselves in the future
— Training videos to recognize signs of future attacks helping employees to identify and prevent phishing attacks
— Automated progress reports; reminders to personnel on their progress; reports including when employees click & reports phishing; tutorials helping them learn and better protect themselves in the future
Allan Lonz, Presidentalonz@advisorvault.comToll free: 1-866-732-1407www.advisorvault.com
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SOURCE AdvisorVault
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