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Topic: Privacy

Monitoring vs. Privacy: Best Practices to Stay in Compliance with a Shifting Line

February 8, 2019
It’s no secret that advisory firms need to monitor employee communications as part of their firms’ compliance efforts. It’s also no secret that advisers must make every effort to protect employees’ personally identifiable information (PII). How can advisers meet one priority without violating the other?

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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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