E14: The Three Pillars of GDPR
E13: GDPR Wedding Day & Beyond
The SEC’s amended Regulation S-P, adopted last year, will soon enhance data privacy protections for broker-dealers, investment companies, registered investment advisors, and transfer agents. The updated rule requires these...more
Know Your Customer (KYC) is a fundamental process used by Financial Institutions (FIs) to verify the identities of their customers and assess the associated financial crime risk. Its primary goal is to prevent money...more
The Consumer Financial Protection Bureau's Compliance Bulletin and Policy Guidance; 2016-02, Service Providers addresses the CFPB's expectation that companies oversee their business relationships with service providers in a...more