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[LT-04] Trading Floor Data Controls...

[LT-04] Trading floors cannot use cloud SaaS for compliance submissions. ABA Formal Opinion 512 requires preventing inadvertent disclosure in...

April 12, 20268 min skaityti
trading floor data securityfinancial services offline processingFINRA complianceMiFID II data controlsair-gapped finance

[LT-04]

The Perimeter Control Requirement

Financial trading floors operate under strict network perimeter controls. External internet access is restricted or blocked entirely on trading workstations — not as a policy choice but as a regulatory and risk management necessity. SEC and FINRA requirements for market data confidentiality, MiFID II obligations for European trading operations, and the competitive sensitivity of trading strategy data all support the same conclusion: data on trading workstat...

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