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News June 10, 2019 Issue

SEC Scrutiny of Privacy Policies and Procedures Makes Implementation Essential

With SEC examiners increasing their scrutiny of how advisory firms protect privacy, now is the time for chief compliance officers to ensure that privacy policies and procedures not only exist, but are robustly implemented. The result will not only be an advisory firm with high confidence that private information is protected, but that its firmís privacy practices will pass muster the next time examiners come to visit.

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