Risk Reduction & compliance

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Access Control Policy

Defines who can access what systems and data — essential for preventing unauthorized use or data breaches.

Cryptography Policy

Ensures that sensitive information (like client financial data) is encrypted, both in transit and at rest.

Information Security Policy (AUP)

Establishes acceptable use of company systems and data — protecting against careless or malicious misuse.

Information Security Roles and Responsibilities

Clarifies who owns security functions, ensuring accountability and consistent enforcement.

Operations Security Policy

Protects day-to-day system operations, ensuring monitoring, controls, and integrity are maintained.

Physical Security Policy

Covers protection of physical offices, hardware, and printed documents — still essential despite digital transformation.

Audit Logging & Monitoring

Tracks activity across systems, enabling early detection of anomalies or threats.

Remote & Mobile Device Use

Ensures secure access to systems from anywhere — critical in today’s flexible, hybrid work models.

Insider Threat Policy

Mitigates risks from individuals within the organization who could intentionally or unintentionally cause harm.

Data Management Policy

Controls data accuracy, availability, classification, and lifecycle — essential for compliance and analytics.

Change Management

Manages process and system changes to avoid disruptions or the introduction of security gaps.

Configuration Management

Standardizes and secures system setups, reducing vulnerability from misconfigurations.

Secure Development Policy

Ensures new systems, workflows, or automations are developed with security embedded.

Risk Management Policy

Framework for identifying, assessing, and mitigating organizational and operational risks.

Anti-Corruption and Bribery Policy

Prevents unethical behavior, especially in client acquisition, vendor selection, or partnerships.

Whistleblower Policy

Provides a safe channel to report misconduct, ensuring transparency and organizational accountability.

Code of Conduct

Outlines professional and ethical behavior standards across the firm and with clients.

Client Due Diligence

Verifies client legitimacy, preventing money laundering, fraud, and reputational risk.

Business Continuity & Disaster Recovery Plan

Ensures the company can recover quickly from outages or crises with minimal disruption to clients.

Incident Response Plan

Provides a structured approach to responding to cybersecurity incidents or data breaches.

Human Resource Security Policy

Applies security practices to employee hiring, onboarding, and termination processes.

Equity, Diversity, and Inclusion Policy

Promotes fairness and representation, supporting a healthy workplace culture and client confidence.

Corporate Social Responsibility Policy

Reflects commitment to ethics, sustainability, and community impact — valuable for brand and stakeholders.

Procurement & Vendor Risk

Reduces exposure to risk introduced by third-party vendors or services.

Third-Party Management Policy

Formalizes selection, monitoring, and offboarding of external partners — especially critical when clients’ systems are involved.

Asset Management Policy

Keeps track of all physical and digital assets to ensure they are used responsibly and securely.

Privacy & Data Protection

Demonstrates a legal and ethical commitment to protecting client and employee personal data — crucial in financial services.