Data Governance and Privacy, Among SEC Examination Priorities for 2024 – Is Your Firm Ready?

Written by: AdvisorHub
With the SEC identifying Information Security and Operational Resiliency as risk areas and outlining their plan to continue to review broker-dealers’ and advisers’ practices to protect investor information, records, and assets, FusionIQ Information Security Officer John Messinger was asked to share his insights into what policies, procedures and tools FusionIQ has in place to provide our clients with visibility into the security and integrity of our products and services.
John Messinger, Information Security Officer, FusionIQ:

“FusionIQ has a demonstrated commitment to data governance, client privacy, and the security of third-party vendors. First, we are System and Organization Controls 2 (SOC 2) Compliant, reinforcing our dedication to cybersecurity excellence in the wealthtech sector. This milestone demonstrates our rigorous approach to data security and the protection of client information, aligning with our mission to deliver secure, cutting-edge digital wealth management platforms.”

Second, we have assembled a world-class DevSecOps and Information Security team, enhancing our security posture and client data protection. Together with our SOC 2 compliance, FusionIQ is well-positioned to meet the SEC’s scrutiny on data governance and privacy. Our efforts reflect our ongoing commitment to providing secure, reliable services to our clients, reinforcing FusionIQ’s role as a trusted partner in the wealth management industry’s digital transformation.
Read the full AdvisorHub article here.
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