BEST PRACTICES & INDUSTRY STANDARDS

Industry Best Practices Fraud Controls Release 1.0 (July 21, 2021)

Industry Best Practices Communicating Penetration Testing Results (April, 2020)

Industry Best Practices Data Security FAQs

SPARK DSOB Security Breach Definition Best Practice Standard (April, 2019)

Industry Best Practices Data Security Reporting (September, 2017)

Sample Glossary of Investment-Related Terms for Disclosures to Retirement Plan Participants – Version 1.01 (Word version) (April 26, 2012)

Sample Glossary of Investment-Related Terms for Disclosures to Retirement Plan Participants – Version 1.01 (PDF version) (April 26, 2012)

Instructions for Sample Spreadsheet Templates for Data Layouts for Non-Registered Investment Product Disclosures to Retirement Plan Participants (Version 1.0) (January 9, 2012)

Data Layouts for Non-Registered Variable Rate of Return Investment Product Disclosures to Retirement Plan Participants (Spreadsheet Template) (January 9, 2012)

Data Layouts for Non-Registered Fixed Rate of Return Investment Product Disclosures to Retirement Plan Participants (Spreadsheet Template) (January 9, 2012)

Data Layouts for Non-Registered Investment Product Disclosures to Retirement Plan Participants (Version 1.00) (September 7, 2011)