Security, Compliance, And Microsoft® Office 365: Fundamentals For Financial Advisors

Webinar: ID# 1023881
Recorded CD
About This Course:
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 webinar, 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.


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
About The Presenter

Robert Clark
  • 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
Security, Compliance, And Microsoft® Office 365: Fundamentals For Financial Advisors
Available on CD format
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