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)
On June 3, 2014, the Securities and Exchange Commission (SEC or Commission) issued a whistleblower award to two individuals who had provided information leading to a successful SEC enforcement action. The whistleblower...more