1. Session 12 Information management and security

2. 1 Contents Part 1: Introduction Part 2: Legal and regulatory responsibilities Part 3: Our Procedures Part 4: IT system management and development Part 5: Failure to comply and reporting breaches Part 6: Summary

3. 2 Introduction Part 1

4. 3 Introduction The purpose of our policy on information management and security is to: protect against breaches protect information assets and IT facilities support our data protection policy increase awareness of our requirements of information security

5. 4 Application of the policy All staff must ensure: information is accurate information is kept confidential data security breaches are reported

6. 5 Legal and regulatory responsibilities Part 2

7. 6 Legal and regulatory responsibilities Data Protection Act 1998 SRA Code of Practice 2011 confidential and with consent only for authorised purposes adequate, relevant and not excessive not held for longer than necessary client confidentiality disclosure only as required or permitted by law or the client consents

8. 7 Our procedures Part 3

9. 8 Our procedures Information management Human resources information Access to offices and filesComputers and IT

10. 9 Our procedures (cont) Backup of data Communication and transfer Home working International transfer

11. 10 IT systems and development Part 4

12. 11 How is the IT system managed? Suitably trained staff Authorisation process New system proposed will undergo risk assessments Software and applications are managed daily Staff are not permitted to install any software on their computer or other equipment supplied by the firm without the consent of the IT Manager

13. 12 Failure to comply and reporting breaches Part 5

14. Insert company name/logo 13 Failure to comply and reporting breaches Failure to comply: puts both you and the firm at risk may lead to disciplinary action possibly resulting in dismissal An actual or potential breach of policy: should be reported according to the compliance failure policy

15. 14 Summary Part 6

16. 15 Summary The information and security policy applies to all staff You must comply with the policy when handling different types of information You are obliged to report an actual or potential breach of the information and security policy Failure to comply with the policy may lead to disciplinary action and/or dismissal

17. 16 Final comments Any questions? Email to nigel.harper@parfittcresswell.comnigel.harper@parfittcresswell.com Update your training records in Compliance Manager