Doing Your Cloud Homework: Answering Legal, Tech & Security Questions

Agenda

Business/Operations & the Cloud

Regulating the Cloud

Security Best Practices

Service Provider Selection

The Cloud

Cloud Computing Trends

Increased adoption in investment industry due to:

Cloud

Redundancy

Monthly per-user cost structure

Management & Monitoring

Best-of-Breed Technology

Agility & Scalability

Legal Considerations for the Cloud

Role of regulatory bodies (e.g. SEC, FINRA)

Recordkeeping requirements?

Hedge funds vs. broker-dealers

Security in the Cloud

Security differences in the cloud vs. on-premise

Public vs. private cloud risks/downfalls

Threat of security breaches– Principle of Least Privilege

Security loopholes with smart phones

Selecting the Right Service Provider

Questions to Ask Your Cloud Services Provider– Technology– Services/Provider

Importance of Service Level Agreements (SLAs)

Service Provider Audits

Eze Castle Integration OverviewFounded 1995

Headquarters

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Phone 1.800.752.1382

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