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Topic: Privacy

Annual Privacy Notices No Longer Required from Advisers in Most Situations

December 18, 2015
The holidays came a little early this year for some advisers and other financial institutions: A provision of the new highway funding law removes the requirement that financial institutions distribute annual privacy notices if certain conditions are met.

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Revisit Regulation S-AM: Don't Assume Compliance

September 13, 2013
It may be a good idea for your firm to revisit Regulation S-AM, the rule adopted by the SEC prohibiting firms from using consumer eligibility information obtained by affiliates. It's not that the rule has changed, but your circumstances may have.

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Reg S-P Violations Ensnare CCO For Weak Policies, Procedures

April 15, 2011


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Compliance Deadline Looms For Massachusetts Data Privacy Law

February 16, 2010


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Regulation S-AM Takes Privacy Up a Notch

August 15, 2009


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SEC Reopens Comment Period on Model Privacy Notice

April 17, 2009


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Reg. S-P Proposal Draws Much Criticism, Little Opposition

May 16, 2008


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OCIE’s Top 10 Areas of Focus in Adviser Exams

March 24, 2008


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SEC Proposes to Amend Reg. S-P Safeguarding Rule to Impose New "Information Security Program" Requirement

March 7, 2008


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