11/19/2013 | Content area:
SEC Compliance Consultants in Philadelphia submits this example of compliance policies and procedures (P&Ps) for the SEC's identity theft red flags ru...
11/18/2013 | Content area:
Wednesday's the day you're to have a program in place to combat identity theft if you've determined your firm falls under the SEC's rules. Making that...
11/11/2013 | Content area:
You should have already determined if your firm must comply with the SEC's new identity theft red flags rules (IA Watch, April 22, 2013). If you do, y...
6/03/2013 | Content area:
You have months before you'll be expected to have an anti-identity theft program in place should your firm need to comply with the SEC's new rule. But...
4/22/2013 | Content area:
Investment Adviser | Private Fund
Something didn't seem right from the beginning. The client sent the firm an e-mail stating he was out of town and asking the adviser to make a wire tr...
4/19/2013 | Content area:
Investment Adviser | Broker-Dealer
248.202 Duties of card issuers regarding changes of address.
Appendix A to Subpart C of Part 248— Interagency Guidelines on Identity Theft De...
4/15/2013 | Content area:
At least a third of investment advisers can anticipate a new addition to their program after the SEC unanimously approved last week new Regulation S-I...
4/10/2013 | Content area:
Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
This is a joint SEC and CFTC final rule, promulgated in 2013, to prevent identity theft. It's called the Identity Theft Red Flags Rules.
3/05/2012 | Content area:
Talk of this move has bubbled for years and now the SEC - along with the CFTC - are proposing the authority to essentially enforce the Federal Trade C...
3/29/2010 | Content area:
The Federal Trade Commission hopes to begin enforcing its red flags rule preventing client identify theft in June (IA Watch, Nov. 9, 2009). But a grow...
8/03/2009 | Content area:
This is getting to be a habit. The Federal Trade Commission has once again delayed implementation of its red flags of identity theft rule, this time u...