Virtual Meetings -
Colby said that consistent with FINRA’s rules requiring in-person hearings, it has conducted no remote hearings. He said there have been a handful of remotely conducted FINRA arbitrations, but those are...more
The SEC has again signaled that now is the time for investment advisers and broker-dealers to get serious about compliance with Reg. S-P. For years, the SEC’s examination priorities have included a focus on cybersecurity...more
4/26/2019
/ Broker-Dealer ,
Customer Information ,
Cybersecurity ,
Data Breach ,
Data Privacy ,
Data Protection ,
Investment Adviser ,
Notice Requirements ,
OCIE ,
Opt-Outs ,
Policies and Procedures ,
Privacy Policy ,
Regulation S-P ,
Regulatory Requirements ,
Risk Alert ,
Risk Mitigation ,
Securities and Exchange Commission (SEC)