On April 16, 2019, the Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert summarizing numerous issues it found in its recent examinations of SEC-registered...more
5/2/2019
/ Broker-Dealer ,
Customer Privacy ,
Data Privacy ,
Data Protection ,
Enforcement Actions ,
Investor Protection ,
OCIE ,
Personally Identifiable Information ,
Privacy Notice Rule ,
Registered Investment Advisors ,
Regulation S-P ,
Risk Alert ,
Securities and Exchange Commission (SEC)