Kristen Mathews

Kristen Mathews

Morrison & Foerster LLP

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New SEC Privacy and Cybersecurity Risk Alert Tells Broker Dealers and Investment Advisers Common Deficiencies to Avoid

The SEC’s new Risk Alert provides valuable insight as to what the OCIE wants to see broker dealers and investment advisers accomplish with their privacy notices and their cybersecurity policies and procedures. The SEC wants...more

4/22/2019  /  Broker-Dealer , Cybersecurity , Investment Adviser , OCIE , Popular , Securities and Exchange Commission (SEC)
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