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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.

Runtime: 90 minutes
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Why Lorman?

Over 32 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.

Agenda

Security Features of Office 365

  • Microsoft® Trust Center
  • Microsoft® Cloud Basics
  • Office 365 Specifics
  • Encryption
  • Customer Lockbox
  • Identity Management
  • Government Access to Data

Compliance Features of Office 365

  • Compliance Basics
  • Journaling
  • Office 365 and SEC 17A-4
  • Third Party Resources for External Data
  • Four Primary Compliance Features
  • Preservation Policy and Preservation Lock
  • Other 17A-4 Requirements
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More Program Information

Why Lorman?

Over 32 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.

Credits

OnDemand Webinar

This course was last revised on April 26, 2017.

Call 1-866-352-9540 for further credit information.

This program does NOT qualify, nor meet the National Standard for NASBA accreditation.

Audio & Reference Manual

This program does NOT qualify, nor meet the National Standard for NASBA accreditation.

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More Program Information

Why Lorman?

Over 32 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.

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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Why Lorman?

Over 32 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.

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Product ID: 400225
Published 2017
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