Compliance and regulation

You’ll also find below some information on some key areas, such as how MiFID II and the Insurance Distribution Directive will affect your clients.

With cybercrime becoming an increasingly serious issue, protecting your clients’ data is vital. Here we present some handy tips to boost your firm’s security when accessing our platform:

Skip to section:
 

• Five simple ways to boost your firm’s login security
• Guides and tips 

1. Don’t compromise security by using generic login details
   
   Never use generic logins to access Client Management, such as ‘Admin’ or ‘Office’. Sharing login details is another unsafe practice – all users should have unique login credentials. This way, you have an audit trail of all transactions placed by members of your firm.
2. Set the online user permissions that are right for your firm
   
   We enable firms to set permissions for individual users who log into Client Management. Employees can therefore be granted the correct level of system rights needed for their role.
3. Keep on top of who’s doing what within Client Management
   
   Our ‘Web Access’ report gives a detailed view of the individual permissions within your firm. It helps you to see who has clearance for tasks such as dealing, viewing accounts and running reports. You can easily set up a weekly, monthly or quarterly report. Once logged in, go to ‘Firm’ on the left-hand side menu and select ‘Reporting Services’. Alternatively, check our Reporting Services user guide (this document can be downloaded below).
4. Ensure former employees can’t access your firm’s data
   
   It’s crucial to rescind an employee’s online permissions when they leave the firm. Failing to do so puts your clients’ data at risk. Run our 'Web Access' report to check your firm’s permissions are up to date.
5. Keep your firm’s login contact details up to date
   
   Sometimes there’s a need to get in touch when, for example, a deal is placed online. The login contact details need to be correct otherwise there could be delays in contacting you.