Introduction

Thank you for participating in the 2020 NSCP / ACA Compliance Cybersecurity Survey!

The survey is open to professionals at investment advisers and broker dealers. Please note the following about this survey:

• The survey will take approximately 15 minutes. Partially completed responses cannot be saved, so please plan to answer all questions in one sitting.

• The survey is open until April 17, 2020.

• Only one person per firm should participate. If your firm has internal technology staff, the head of the technology department (e.g. the CTO or Director of IT) should be responsible for completion.  If not, the firm's Chief Compliance Officer should respond. If you are not one of the above roles, please check with the expected lead before taking the survey to avoid duplicate responses.

• This survey is designed to be anonymous. In responding to open text questions, please do not provide sensitive or confidential details about your firm. You will not be asked to identify yourself or your firm at any point during the survey. Responses may be shared with third parties at our discretion, however, they will remain anonymous and will not be attributed to the respondent.

• This survey is hosted by SurveyMonkey, a third party survey hosting company not affiliated with ACA or NSCP. The information that you provide on this questionnaire will be available to SurveyMonkey. SurveyMonkey’s privacy and security policies state that SurveyMonkey maintains survey responses as private information and does not sell or share survey responses with third party advertisers or use survey responses for its own purposes (other than providing the survey hosting services).

- Information on SurveyMonkey's privacy policy is available here: https://www.surveymonkey.com/mp/policy/privacy-policy/

- Information on SurveyMonkey’s security practices is available here: http://www.surveymonkey.com/Monkey_Security.aspx

• Should any technical questions arise, please contact Jennette Banks at jbanks@acaaponix.com
Thank you for participating in the 2020 NSCP / ACA Compliance Cybersecurity Survey!

The survey is open to professionals at investment advisers and broker dealers. Please note the following about this survey:

• The survey will take approximately 15 minutes. Partially completed responses cannot be saved, so please plan to answer all questions in one sitting.

• The survey is open until April 17, 2020.

• Only one person per firm should participate. If your firm has internal technology staff, the head of the technology department (e.g. the CTO or Director of IT) should be responsible for completion.  If not, the firm's Chief Compliance Officer should respond. If you are not one of the above roles, please check with the expected lead before taking the survey to avoid duplicate responses.

• This survey is designed to be anonymous. In responding to open text questions, please do not provide sensitive or confidential details about your firm. You will not be asked to identify yourself or your firm at any point during the survey. Responses may be shared with third parties at our discretion, however, they will remain anonymous and will not be attributed to the respondent.

• This survey is hosted by SurveyMonkey, a third party survey hosting company not affiliated with ACA or NSCP. The information that you provide on this questionnaire will be available to SurveyMonkey. SurveyMonkey’s privacy and security policies state that SurveyMonkey maintains survey responses as private information and does not sell or share survey responses with third party advertisers or use survey responses for its own purposes (other than providing the survey hosting services).

- Information on SurveyMonkey's privacy policy is available here: https://www.surveymonkey.com/mp/policy/privacy-policy/

- Information on SurveyMonkey’s security practices is available here: http://www.surveymonkey.com/Monkey_Security.aspx

• Should any technical questions arise, please contact Jennette Banks at jbanks@acaaponix.com

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