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Privacy (65)
Your search for Privacy returned 65 results.
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5/02/2019 | Content area: Investment Adviser
While reports have drifted in for months that OCIE was holding up advisers’ registration applications from firms in the EU after the GDPR took effect ...
4/25/2019 | Content area: Investment Adviser
Wi-Fi can be so convenient – yet so risky.   OCIE’s new risk alert on Reg S-P warns of the use of “unsecure networks,” noting many firms don’t have co...
4/25/2019 | Content area: CPO/CTA
It took the CFTC three years after the SEC revised its rules regarding sending annual privacy notices to clients for the Commission to follow suit but...
4/19/2019 | Content area: CPO/CTA
The Commodity Futures Trading Commission (“CFTC” or “Commission”) is adopting amendments to revise its regulations requiring covered persons to provid...
4/16/2019 | Content area: Investment Adviser | Broker-Dealer
Through sharing some of the Regulation S-P compliance issues it observed, OCIE encourages registrants to review their written policies and procedures,...
4/16/2019 | Content area: Investment Adviser
With cybersecurity as hot as a black hole, it’s no surprise that OCIE wants advisers to take a new look at their cybersecurity P&Ps as well as how the...
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 ...


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