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Topic: Safeguarding

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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