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SEC Regulations

The SEC Regulation  Title 17: Chapter II, Part 248, Subpart A: §248.30 requires every broker, dealer, and investment company, and every investment adviser registered with the SEC to adopt written policies and procedures that address administrative, technical, and physical safeguards for the protection of customer records and information.

As part of your procedures to provide the above safeguards, you may use Encyro to not only share data in a secure manner with clients, but also store it securely and maintain audit-friendly activity logs.

A detailed list of Encyro security safeguards is available here.

See also how Encyro supports your FINRA compliance.

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