Is a securities firm, in Ohio

Ohio Adm. Code 1301:6-3-15.1(E)(1)(u) · Read the law's page

• This binds an investment adviser licensed with the Ohio Division of Securities or required to be licensed under Chapter 1707 of the Revised Code (reached by declaring that you are a broker-dealer, investment firm or investment adviser); an adviser licensed in Ohio whose principal place of business is in another state, which is registered as an investment adviser there and complies with that state's record keeping requirements, is outside paragraph (E) (rule 1301:6-3-15.1(E) and (E)(10)).
• Make and keep written physical security and cybersecurity policies and procedures reasonably designed to ensure the confidentiality, integrity, and availability of physical and electronic records and information (rule 1301:6-3-15.1(E)(1)(u)).
• Tailor the policies and procedures to your business model, taking into account the size of the firm, the types of services provided, and the number of locations (rule 1301:6-3-15.1(E)(1)(u)).
• Design the policies and procedures to protect against reasonably anticipated threats or hazards to the security or integrity of client records and information, to safeguard confidential client records and information, and to protect any records and information the release of which could result in harm or inconvenience to a client (rule 1301:6-3-15.1(E)(1)(u)(i)).
• Cover at least five functions in the policies and procedures: identify, protect, detect, respond and recover (rule 1301:6-3-15.1(E)(1)(u)(ii)).
• Review the policies and procedures no less frequently than annually and modify them as needed to ensure the adequacy of the security measures and the effectiveness of their implementation (rule 1301:6-3-15.1(E)(1)(u)(iii)).