The Office of Compliance Inspections and Examinations (the “OCIE”) issued a risk alert that provides guidance to broker-dealers and investment advisors for complying with the requirements of Regulation S-P on April 16, 2019. ...more
5/9/2019
/ Broker-Dealer ,
Customer Information ,
Cybersecurity ,
Data Protection ,
Data Security ,
Investment Adviser ,
OCIE ,
Personally Identifiable Information ,
Policies and Procedures ,
Regulation S-P ,
Securities and Exchange Commission (SEC)