CRIME – FORGERY (Excerpt from Financial CL Survey)

Are checks and drafts kept in a locked area? ___ Yes ___ No

If yes, describe the area where they are kept and the person(s) who controls the keys.

Does the applicant use electronic signatures? ___ Yes ___ No

If yes, describe security methods utilized.

Does the applicant use facsimile signatures? ___ Yes ___ No

If yes, describe security procedures in place.

CRIME – MONEY AND SECURITIES

Note: Coverage is provided using a Financial Institutions Bond.

CRIME – COMPUTER FRAUD

Describe the hardware that is a part of the applicant’s computer system.

Do the applicant’s employees have access to the computer database from off-site locations? ___ Yes ___ No

Do vendors and customers have access to the applicant’s computer database from off-site locations? ___ Yes ___ No

Describe the applicant’s computer security protocol when its employees leave the company.

Does the applicant use the Internet to transfer money, securities, or goods? ___ Yes ___ No

Are operations/procedure manuals secured when not in use? ___Yes ___No

If the applicant uses an application service provider (ASP) provide a copy of the contract.