1. Legal & Regulatory Compliance

2. Overview What types of information should be included? What issues or problems might there be? What benefits could be obtained? How could it be done? Recommendations

3. Legal & Regulatory Compliance Examples: – Data Protection Act (DPA) and ICO recommendations – Financial Services – Health & Safety – Equal opportunities – Freedom of Information And the list goes on...

4. Example - Data Protection European Directives UK Statutes Regulations Rulings Recommendations Best practice

5. Data Protection Act Eight Principles If you possess personal information you must ensure information is: – Fairly and lawfully processed – Processed for limited purposes – Adequate, relevant and not excessive – Accurate and up to date – Not kept for longer than is necessary – Processed in line with your rights – Secure – Not transferred to other countries without adequate protection

6. laptopadequate security procedures It is essential that before a company allows personal information to leave its premises on a laptop there are adequate security procedures in place to protect personal information, for example, password protection and encryption.

7. FSA Combating market abuse – Restrict IT access to named individuals on a deal – Use secure data rooms – Dedicated IT support for deal teams – Employ ethical hackers to test robustness of IT – Use appropriate code names for IT files – Password protect/encrypt electronic communication/devices Plus 13 other best practice guidelines...

8. Legal & Regulatory Compliance