Security Process

Mainstayís Security Infrastructure is broken down into the following Components

  • Confidentiality (Advisor Level)

  • Monitoring Process (Advisor and Infrastructure)

  • Audit and Control Process

  • Data Privacy (Customer)

  • Information Security Process and Standards

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Confidentiality (Advisor Level)

NDA Ė Client Level and Service Level
Information Access Control
Security Configuration Management
Security Management Process
Media Controls (no floppy drives or CD-Writers in any of the machines)
No Public Network (Controlled Internet Access)

Monitoring Process (Advisor and Infrastructure)

Defined Process
Documented processes for changing data once created and for the prevention of unauthorized manipulation of data, and audit trails should log unauthorized access and changes. 
Documented storage processes and mechanisms; parameters defining when data should be destroyed or archived should be documented; and data disposal procedures, including hardware disposal, should be documented.

Audit and Control Process

Audit Trail
Version Control
Extensive Logging Mechanism
Authorization (Login IDís and Password)
Authentication (Secure ID)

Data Privacy (Customer)

Centralized Data Storage
IP Level Security
Desktop Level Security controlled by a Domain
Authentication (Login IDís and Password)
Logging (Can be enabled to monitor Keystrokes)
Additional AES 256 bit Encryption with PKI (if required) File and Database

Information Security Process and Standards 

Chain-of-Trust Agreements 
Contingency Planning 
Records Processing 
Information Access Control 
Internal Audit 
Personnel Security 
Security Configuration Management 
Security Incident Procedures 
Security Management Process 
Termination Procedures 
Training (under several regulations) 
Media Controls 
Physical Access Controls 
Access, Audit, Authorization, and Authentication Controls 
Communications and Network Controls 
Electronic/Digital Signature


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