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Privacy Disclosures (23)
Your search for Privacy Disclosures returned 23 results.
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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 ...
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...
1/15/2015 | Content area: CPO/CTA
(a) Initial notice requirement. You must provide a clear and conspicuous notice that accurately reflects your privacy policies and practices to: (1) ...
1/15/2015 | Content area: CPO/CTA
(a)(1) General rule. You must provide a clear and conspicuous notice to customers that accurately reflects your privacy policies and practices not les...
1/15/2015 | Content area: CPO/CTA
(a) General rule. The initial, annual, and revised privacy notices that you provide under §§160.4, 160.5 and 160.8 must include each of the following ...
1/15/2015 | Content area: CPO/CTA
(a)(1) Form of opt out notice. If you are required to provide an opt out notice under §160.10(a), you must provide a clear and conspicuous notice to e...
1/15/2015 | Content area: CPO/CTA
(a) General rule. Except as otherwise authorized in this part, you must not, directly or through any affiliate, disclose any nonpublic personal inform...
1/15/2015 | Content area: CPO/CTA
(a) How to provide notices. You must provide any privacy notices and opt out notices, including short-form initial notices that this part requires so ...
10/16/2014 | Content area: Investment Adviser
Even with the best precautions, it’s possible a cyber bad guy could infiltrate your network. Should you find evidence of an intrusion, consider these ...
12/28/2012 | Content area: CPO/CTA
This notice from the CFTC revises the model privacy form under Gramm-Leach-Bliley Act. It would be worth your time to go through this Federal Register...
4/05/2012 | Content area: Investment Adviser
Here is a list of best practices when it comes to issues of privacy.
8/22/2011 | Content area: Investment Adviser
When the government declares that something carries a safe harbor protection, it doesn't dictate that you must do something but simply states that if ...
12/13/2010 | Content area: Investment Adviser
You can continue to use the SEC's sample clauses under Reg S-P in your privacy notices next year but the safe harbor around their use fades with the N...
12/08/2010 | Content area: Investment Adviser
A peer shares the firm's annual privacy notice.
12/08/2010 | Content area: Investment Adviser
This is the model privacy form from the government designed for firms with no affiliate opt outs.
12/08/2010 | Content area: Investment Adviser
This is the government's model privacy form for firms with an affiliate but no opt out.
12/08/2010 | Content area: Investment Adviser
This is the government's model privacy notice for firms without an affiliate and no opt out.
12/08/2010 | Content area: Investment Adviser
A copy of the government's model privacy notice for financial firms. This one is designed for firms with affiliates in which the client wishes to opt ...
11/03/2010 | Content area: Investment Adviser
An example of a privacy policy courtesy of one of your peers.
10/28/2010 | Content area: Investment Adviser
A peer shares its privacy policy statement.


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