SageTrader, LLC encourages all of its customers and associates to be diligent in protecting their identity and their accounts.

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Clients should note the following ways to help protect accounts

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• Change various logon passwords on a regular basis for trading platform(s), account statements and other systems that pertain to clients trading account. Follow the instructions for using the various combinations available to establish a strong password

• Avoid using the same password for multiple accounts.

• Be sure to keep account logons, passwords, PINS, etc. private and do not store on hard drive.

• Keep computer's operating system current to make sure they have the latest level of protection.

• Use strong antivirus and firewall-protection on computers and configure security settings to receive automatic updates for your anti-virus, anti-spam and spyware software.

• Use an owned computer and not a public or shared computer to access financial, trading and sensitive accounts.

• When finished, be sure to log out completely and close browser.

• Use extra caution when using wireless connections to access personal information.

• Be careful of email attachments from unknown sources in addition to emails conveying a so-called sense of urgency and asking to click on links contained in the email.

• Review account statements regularly to ensure that there is no unauthorized activity.

• Report immediately to SageTrader any email or other notice requesting information about account, including account number, etc.

• Report immediately to SageTrader if any personal or business email account has been compromised.

• Be sure to notify SageTrader immediately when address of record, phone number or email changes. SageTrader will require a signed form indicating these changes.

• Respond immediately to any IRS notices regarding the possible misuse of your Social Security number.

• Be extremely careful when disclosing personal information on social media sites.

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Firm API traders:

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• For infrastructure, be sure to be up to date on the latest best practices for firewalls, intrusion detection, and protection for things like DDoS attacks.

• Establish a procedure for evolving code and management of the release lifecycle.

• Establish intraday monitoring and logging capabilities to detect unusual activity.

• Establish additional risk checks on top on what your broker dealer provides as an additional layer of safety and security. Sample checks include, but are not limited to:

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• Excessive Messaging Alert

• Per Order Settings

  • Max quantity, max notional value

  • Order price vs. bid / ask market data

  • Max orders per side

• Trading session settings

  • Max orders per second, fills per second

  • Max orders per day

  • Max shares / options traded on day

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September 2019

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