Privacy and Information Security in the Securities Industry: Risk Management at Charles Schwab

Assignment: Describe the privacy/information security issues facing the securities industry in general and Charles Schwab in particular. Review the relevant legal/regulatory requirements, opportunities, and constraints. Analyze available technological and policy and procedural mitigants. Identify best practices frame your plan to manage the risks in your organization.

Here is the ABSTRACT! The paper is planned out already, I just need the research and writing done:

“This paper discusses the privacy and information security issues facing the securities industry, and particularly the broker-dealer Charles Schwab.  This paper will review the relevant regulatory and legal requirements, opportunities, and constraints faced by broker-dealers, including Regulation S-P.  I will analyze available technological and policy and procedural mitigants and identify best practices.  These will be utilized to frame a plan for Charles Schwab to manage the privacy and information security risks that it faces.”

https://www.kslaw.com/news-and-insights/safe-and-sound-finra-and-the-sec-issue-guidance-on-handling-customer-information-and-communications

https://www.finra.org/rules-guidance/key-topics/customer-information-protection

https://www.finra.org/rules-guidance/guidance/reports/2021-finras-examination-and-risk-monitoring-program/cybersecurity

https://www.finra.org/sites/default/files/Cybersecurity_Report_2018.pdf

https://www.finra.org/sites/default/files/Cybersecurity_Report_2018.pdf

https://www.sec.gov/news/press-release/2021-169