2022 Entitlement User Accounts Certification FIP Team June 2nd, 2022 Timeline Copyright 2022 FINRA 1 Agenda What am I certifying 01 02 03 04 05 06 Demo Resources Introduction What if I dont certify Who needs to certify What is
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Presentation Transcript
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2022 Entitlement User Accounts Certification FIP Team June 2nd, 2022<br>
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Timeline Copyright 2022 FINRA 1 Agenda What am I certifying 01 02 03 04 05 06 Demo Resources Introduction What if I don’t certify Who needs to certify What is Certification<br>
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Copyright 2022 FINRA 2 Introduction With the modernization of the Account Management application within the FINRA Gateway we have also changed the Certification Process.
Today we’ll review information about the Certification Process, demo the updated screens and share resources for additional guidance<br>
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Copyright 2022 FINRA 3 What is Certification FINRA designates a period every year during which in-scope Super Account Administrators must certify that a review of all users and administrators within their organization with access to systems on the FINRA Entitlement Platform has been completed. Only the SAA can complete this certification on behalf of the organization.
Note for Organizations That Only Maintain an SAA Account
Organizations that do not have other users and/or administrators in addition to their SAA (often referred to as SAA-only organizations) will have the option to certify, but are not required, unless the firm has access to the Consolidated Audit Trail (CAT).<br>
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Copyright 2022 FINRA 4 What am I certifying SAAs should confirm that enterprise-wide access to systems on the FINRA Entitlement Platform adheres to the following best practices:
Each individual has a continuing need to access application(s) accessed through the FINRA Entitlement Program on the organization's behalf;
Each individual is entitled only to the applications and roles/privileges needed to perform current job responsibilities;
Access to sensitive data (e.g., Criminal History Record Information (CHRI), Social Security or tax identification numbers, dates of birth) is only given to those who require it; and
Accounts are modified or deleted in a timely fashion when individuals no longer require access.<br>
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Copyright 2022 FINRA 5 What if I don’t Certify? The following actions will occur if an organization that is required to certify does not certify within the designated period:
The capability to create accounts, create and assign roles, and the ability to edit and import entitlements to accounts will be disabled for all administrators after the certification due date and will remain disabled until the SAA completes the certification process.
Action by the regulator may be taken to ensure compliance with the process.
Failure to comply with certification will result in all accounts associated with the organization to be suspended until certification is completed. This action requires an SAA to work with the FINRA Entitlement Group to complete the certification and regain full system functionality.<br>
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Copyright 2022 FINRA 6 TIMELINE Jun 1st, 2022 Aug 17th, 2022 Aug 24th, 2022 Aug 31st, 2022 Sep 1st, 2022<br>
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Copyright 2022 FINRA 7 DEMO<br>
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Copyright 2022 FINRA 8 Resources Details on Certification Process –
https://www.finra.org/filing-reporting/entitlement/user-accounts-certification-process
How do I perform Entitlement Certification?
Go here https://gateway.finra.org/app/ews-landing-page to complete User Accounts Certification through the Accounts Management System
Need step-by-step help? Refer to the FINRA Entitlement Reference Guide –
https://www.finra.org/filing-reporting/entitlement/reference-guide
Frequently Asked Questions on the Certification Process –
https://www.finra.org/registration-exams-ce/classic-crd/faq/entitlement#certification
Need help generating reports –
https://www.finra.org/sites/default/files/2019-10/Dynamic_Reporting_User_Guide.pdf<br>
