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Security, Compliance, and Microsoft® Office 365: Fundamentals for Financial Advisors

 

Understand the important security and compliance features of Microsoft® Office 365.

Financial advisors and broker-dealers face a varying array of compliance requirements, and need to know the degree to which the tools being used to run their business do or do not satisfy their compliance regime. Microsoft® Office 365, the subscription-based productivity and infrastructure suite offered by Microsoft®, presents a tempting solution to many advisors for its combination of cost and features. In this topic, we will review both the security and compliance features of Microsoft® Office 365 and answer the question: Can I be SEC 17a-4 compliant with Office 365? The material is designed for those who are familiar with Office 365 and have a basic understanding of the administrative functions of the tool. Learning consists of 'what it is', 'where it is', and 'what to click' to access the security and compliance features.

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Security, Compliance, and Microsoft® Office 365: Fundamentals for Financial Advisors

Agenda

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Security, Compliance, and Microsoft® Office 365: Fundamentals for Financial Advisors

Faculty

Robert Clark

Robert Clark

LucidPointe, LLC

  • Managing principal of LucidPointe, LLC, based in Darien, CT
  • LucidPointe is a Microsoft® Silver Small and Midmarket Cloud Solutions Partner, specializing in Microsoft® Office 365 transitions, migrations, and deployments for compliance-constrained businesses like financial services and health care
  • More than 30 years of experience advising small and medium-sized businesses, Fortune 50 companies, nonprofits, associations, and industry groups on information technology, technology, marketing, sales, operations, strategy, and international trade
  • Has presented to organizations and companies of all sizes including corporate audiences, trade organizations, private learning providers, professional associations, SCORE, and other business organizations
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Security, Compliance, and Microsoft® Office 365: Fundamentals for Financial Advisors

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