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Process Dev Plan (Salesforce (Cashiering (Workflows (Process Builder )…

- - - - for Household + Financial Account + Cashiering Record Type, >>
        approved (per custodial agreements) Contra Financial Accounts and Transfer Directions
    - - Financial Accounts in Cashiering BPs
        
        Financial Account and Contra FA Name, etc. update when # is updated
      - Cashiering START from HH
        
        Cashiering process details from Household initiation fields
      - Transaction Date updates Due Dates
        
        Transaction Date updates Due Date of task name = "transfer cash" OR task name = "transfer securities"
      - Margin Balance (BP)
        
        BP initiated when Current Cash value IS CHANGED and <$0
  - - - VPA master
      - use Step Dependencies to 1) select paperwork for account type, 2) add/remove/change Manager, 3) sub-BPs, e.g. Cashiering
  - - - Add Perigon to Banyan-managed Account (TDA)
      - Add Aperio to master Account (TDA)
      - Remove Manager from Account (TDA)
      - create for TDA and clone for Schwab, then update paperwork
  - - - (re)Map SF fields in Formstack
      - LaserApp and/or PDF form filled out with SF fields
  - - - Emergency Contact Info (BCP)
  - - - Cashiering Log #
      - Team Contact Lists #
      - Service Provider List
      - Client Households #
      - Client Individuals #
      - Client Entities #
      - Marketing Presentations #
      - Clients by State Jurisdiction #
    - - Cybersecurity Quarterly Assessment [working]
        
        Stages = FFEIC Assessment Factors
        
        1.1 Oversight
        
        1.2 Strategy and Policies
        
        1.3. IT Asset Management
        
        Macbooks
        
        Firewall
        
        Firevault
        
        iCloud - Find My Mac
        
        Chrome
        
        Auto-Logout
        
        1Password Extension
        
        1Password app
        
        device ID in 1Password (see AG , e.g.)
        
        Document Best Practices
        
        do not store any client or firm proprietary files on desktop - upload to Box and delete, Secure Empty Trash
        
        Adobe Acrobat Pro
        
        SaS - PM has paid account, AG Macbook also registered
        
        iPhones
        
        Location Settings (iClloud)
        
        1.4 Risk Management Program
        
        1.5 Risk Assessment
        
        1.6 Audit
        
        1.7 Staffing
        
        1.8 Training
        
        1.9 Culture
        
        2.1 Threat Intelligence and Information
        
        2.2 Monitoring and Analyzing
        
        2.3 Informational Sharing
        
        3.1 Infrastructure Management
        
        3.2 Access and Data Management
        
        password reset every 30 days
        
        Asana every 90 days? - TASK
        
        Box - force reset
        
        Gmail - TASK
        
        Salesforce - force reset
        
        TDA - TASK
        
        Schwab - TASK
        
        Addepar - TASK
        
        3.3 Device/End-Point Security
        
        3.4 Secure Coding
        
        3.5 Threat and Vulnerability Detection
        
        3.6 Anomolous Activity
        
        3.7 Event Detection
        
        3.8 Patch Management
        
        3.9 Remediation
        
        4.1 Connections
        
        Box - file storage
        
        Security Whitepaper
        
        Accessing and Downloading #
        
        access files only through vernalpoint.box.com; Download files temporarily and delete (Secure Empty Trash)
        
        Amazon S3 - file back-up
        
        AG's account configured through Movr ($20/month)
        
        4.2 Due Diligence
        
        4.3 Contracts
        
        4.4 Ongoing Monitoring
        
        5.1 Planning
        
        5.2 Testing
        
        5.3 Detection
        
        5.4 Response and Mitigation
        
        5.5 Escalation and Reporting
        
        NIST Categories, SubCategories, FFEIC Domains, and FFEIC Assessment Factors = mapped fields in Step (Process Task)
        
        sub-BPs for Individuals, devices, third parties (Service Provider Households), etc. TBD
  - - - see Veo for form to move retail account to advisor platform or change advisor