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Securities and Exchange Commission (SEC) › Policies and Procedures › Consumer Privacy Rights

Tonkon Torp LLP

What the SEC Amendments to Regulation S-P Mean for Your Business

Tonkon Torp LLP on

On May 16, 2024, the SEC adopted amendments to Regulation S-P requiring broker-dealers, registered investment companies, registered investment advisers, funding portals, and transfer agents (collectively, “covered...more

Baker Donelson

Top Privacy and Cybersecurity Issues to Track In 2024

Baker Donelson on

In recognition of International Privacy Day on January 28, we wanted to share some insights on the top privacy and cybersecurity issues for the new year. Data privacy and cybersecurity will continue to be one of the most...more

WilmerHale

OCIE Issues Risk Alert Regarding Advisers and Broker Dealers Failing to Comply with Regulation S P

WilmerHale on

On April 16, 2019, the Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) released a new Risk Alert regarding Regulation S-P deficiencies found in recent examinations of...more

Katten Muchin Rosenman LLP

Bridging the Week - April 2019 #3

Katten Muchin Rosenman LLP on

The watchdog arm of the Securities and Exchange Commission – the Office of Compliance Inspections and Examinations – issued a Risk Alert summarizing breakdowns in compliance by broker-dealers and investment advisers of their...more

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