Bringing the Cloud back to earth: Compliance, operational and security considerations

Lynne M. Carreiro and David Holman
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Lynne M. Carreiro: Former Managing Director, ACA Compliance Group, USA
David Holman: Senior Principal Consultant, ACA Aponix, UK

Journal of Securities Operations & Custody, 2020, vol. 12, issue 4, 386-391

Abstract: The benefits to be obtained for individuals, or small- to medium-sized businesses, of moving to a Cloud environment are numerous, say its advocates. But to focus solely on the benefits and to ignore the potential risks would be a mistake. In addition to all the benefits that may accrue to firms seeking to move into a Cloud environment, there are also several areas which may pose problematic or more complicated to resolve than a superficial contemplation would disclose. This paper explores the regulatory, compliance and operational issues that should be considered by investment management firms when contemplating the move to Cloud computing.

Keywords: Cloud; compliance; records; fintech; cybersecurity; regulation (search for similar items in EconPapers)
JEL-codes: E5 G2 K22 (search for similar items in EconPapers)
Date: 2020
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