Vincent Scala

Vincent Scala

Lowenstein Sandler LLP

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SEC Releases Risk Alert Regarding Compliance Issues With Identity Theft Prevention Programs Under Regulation S-ID

On December 5, 2022, the Division of Examinations (EXAMS) of the Securities and Exchange Commission (SEC) issued a Risk Alert regarding recently observed compliance issues with respect to Regulation S-ID. Under Regulation...more

12/14/2022  /  Broker-Dealer , Fair Credit Reporting Act (FCRA) , Identity Theft , Investment Adviser , Policies and Procedures , Risk Alert , Securities and Exchange Commission (SEC)
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