As every investment adviser, broker-dealer, and fund (and their lawyer) knows, noncompliance with Regulation S-P, the SEC’s primary rule on privacy notices and safeguard policies, can land a registrant in hot and expensive...more
4/22/2019
/ Broker-Dealer ,
Cybersecurity ,
Data Protection ,
Enforcement Actions ,
Investment Adviser ,
Investment Companies ,
Investment Firms ,
OCIE ,
Personally Identifiable Information ,
Popular ,
Regulation S-P ,
Risk Alert ,
Safeguards Rule ,
Securities and Exchange Commission (SEC)
In connection with the US Securities and Exchange Commission’s (SEC) proposed Regulation Best Interest, the Financial Industry Regulatory Authority (FINRA) has asserted (with some case law support from the SEC) that its...more