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Amid this period of ongoing change, with the potential for continued market volatility, Broadridge stands ready to help you navigate what’s next. Our highest priorities are keeping our associates safe and ensuring our ability to serve our clients. View resources.

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White Paper

Mitigating Data Security Risks at Broker Dealers

The report shows how and why broker dealers have increased security risks.

The report explains how key industry shifts and a threatening landscape are affecting the broker-dealer community. The reports’ survey data on current attitudes and activities in the sector show that broker-dealers are under increasing pressure to develop:

  • Extensive, integrated and automated enterprise-wide data protection strategies
  • Inter-organizational conventions for mitigating data-loss risks among customers, partners and third-party providers

The paper describes the effect of regulation on information security. It then suggests action items for coping with potential information security threats.