When it comes to information security, the Safeguards Rule of Regulation S-P (Safeguards Rule) requires SEC-registered investment advisers and brokers and dealers (Registrants) to adopt written policies and procedures that...more
5/1/2019
/ Broker-Dealer ,
Customer Information ,
Cybersecurity ,
Investment Adviser ,
OCIE ,
Personally Identifiable Information ,
Policies and Procedures ,
Regulation S-P ,
Risk Alert ,
Safeguards Rule ,
Securities and Exchange Commission (SEC)