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Privacy (59)
Your search for Privacy returned 59 results.
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3/14/2019 | Content area: Investment Adviser
OCIE chalked up more than 2,000 IA exams in FY 2018, visiting 17% of all firms. These numbers may be out of reach in FY 2019 (IA Watch, Jan. 10, 2019)...
12/13/2018 | Content area: Investment Adviser
The Golden State takes pleasure in being the first in the nation at things and this record continues after the state has passed the country’s first la...
12/06/2018 | Content area: CPO/CTA
Better late than never. Three years after the SEC amended its privacy rules eliminating the requirement to send customers an annual notice if nothing ...
11/30/2018 | Content area: CPO/CTA
The Commodity Futures Trading Commission (“CFTC” or “Commission”) is proposing to revise its regulations requiring covered persons to provide annual p...
11/07/2018 | Content area: Broker-Dealer
ITG did not adequately limit access to GATE, a firm system containing all order flow routed through ITG, including open child-level POSIT order inform...
8/09/2018 | Content area: Investment Adviser
Investment adviser execs are bullish about their business prospects and foresee substantial increases in headcount and AUM over the next one year and ...
8/02/2018 | Content area: Investment Adviser
IA Watch spoke with Thomas Smedinghoff, of counsel with Locke Lord in Chicago, about what advisers should know about the EU's General Data Protection ...
6/22/2018 | Content area: Investment Adviser
U.S.-based advisers that sell into the EU could be excused if they’re still perplexed by what the General Data Protection Regulation means to them one...
5/31/2018 | Content area: Investment Adviser
You no doubt have been getting multiple e-mails from various parties touting their new privacy policies, detailing opt-in notices and calling out that...
3/08/2018 | Content area: Investment Adviser
Tim Hickman of White & Case in London gives RCW permission to share with you his firm's flowchart to help you determine if you are affected by the reg...
2/22/2018 | Content area: Investment Adviser
You’re only two months away from the effective date of a new EU rule that carries potentially hugely expensive penalties for violations.   Perhaps you...
6/08/2016 | Content area: Investment Adviser
This proceeding arises out of MSSB’s failure to adopt written policies and procedures reasonably designed to protect customer records and information,...
6/08/2016 | Content area: Investment Adviser
Between 2011 and December 2014, Marsh was first a Client Service Associate and then a Financial Advisor at Morgan Stanley Smith Barney LLC (“MSSB”), a...
4/07/2016 | Content area: Broker-Dealer
It may be time to review your policies on maintaining the privacy of customer information obtained from newly hired brokers.   That’s the lesson from ...
2/29/2016 | Content area: Broker-Dealer
Santos shared confidential information pertaining to at least 14 of his customers’ accounts with an outside third party. Using a personal email addres...
1/28/2016 | Content area: Investment Adviser
Only the European Parliament stands in the way of blocking what looks like a sure eventuality: adoption of the EU’s new data protection rule (IA Watch...
12/07/2015 | Content area: Investment Adviser
This is the highway bill signed into law in 2015. It includes a provision eliminating advisers and others from sending out an annual privacy notice if...
12/07/2015 | Content area: Investment Adviser
Last week, the President signed into law the highway bill. Buried in the new law is a provision amending the Gramm-Leach Bliley Act’s requirement that...
12/02/2015 | Content area: Investment Adviser
Gemmer Asset Management permits IA Watch to share with you its cybersecurity policy related to access to client information.
7/16/2015 | Content area: Investment Adviser
For three years, EU authorities have kicked around the idea of adopting a data protection regulation. Predictors believe that regulation will be final...


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