Keeping Your Clients’ Information Safe.

As a financial professional, it’s important for you to have access to your clients’ personal information so that you are able to make recommendations that are in their best interests. In providing this sensitive information to you, your clients are not only putting their trust in you for financial decisions, but they are also entrusting you with keeping that personal information secure. This may make you the target of malicious intent from individuals that are actively attempting to steal that information for their own personal gain. Taking steps to prevent these types of individuals from accessing you and your clients’ information is critical.

Your clients have put their trust in you and you have a responsibility to keep their information safe. There are a few basic cybersecurity steps that you can take to make it more difficult for someone to access it:

  • Keep client information password-protected and limit access to only those individuals that need it to perform their jobs.
  • Evaluate your security settings and make sure what you are using for software provides the features that meet your needs, without putting your security at an increased risk.
  • Create passwords that include numbers, letters (upper AND lower case) and special characters. Change your passwords on a regular basis and avoid using the same password for multiple sites.
  • Create a cybersecurity plan for your business. The Federal Communication Commission (FCC) has a Small Biz Cyber Planner 2.0* on their website that may help and also be sure to check out these 10 tips from the FCC for Small Businesses:

Check out the Department of Homeland Security website for more information on cybersecurity and tips to help keep yours and your customer’s information safe:

If you have questions regarding this or other compliance-related issues, send them to the Brokers International compliance team at


This information is intended for Financial Professionals who are insurance licensed only. If you are securities licensed please contact your Broker Dealer for their requirements.

These educational pieces are intended to be informative and provide generalized guidance. They should not be construed as legal advice or provide protection against compliance violations brought on by a consumer or state insurance commission. It is the sole responsibility of the financial professional to seek compliance or legal direction specific to their individual situation. These pieces should be used as a means to raise awareness and evaluate business practices.

For Financial Professional use only, not for use with the general public. #17-3062-081018