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Privacy Disclosures (15)
Your search for Privacy Disclosures returned 15 results.
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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...
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...
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 ...
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.
11/19/2009 | Content area: Investment Adviser
The model form from the federal government that meets the safe harbor for the annual privacy form for clients under the Gramm-Leach-Bliley Act. This w...
3/13/2008 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
The SEC's proposed Reg S-P from 2008. As of 2014, this proposal hadn't been finalized.


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