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Topic: Privacy

Regulation S-P: OCIE Puts Advisers and Broker-Dealers on Notice

April 19, 2019
At least some advisers and broker-dealers are not complying with privacy notice and safeguard policy requirements under Regulation S-P, and the SECís Office of Compliance Inspections and Examinations, in an April 16 Risk Alert, lets all advisers and brokers know that examiners are keeping a sharp eye out for such violations. In short, it is saying: Youíve been warned, so donít complain if you get cited for such violations during an exam.

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

February 8, 2019
Itís no secret that advisory firms need to monitor employee communications as part of their firmsí compliance efforts. Itís also no secret that advisers must make every effort to protect employeesí 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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