The SEC’s Division of Examinations third risk alert of the year reminds advisers to include their branch offices in their compliance P&Ps, especially those designed ...
Firms should consider their entire organization, including branch offices, when implementing written policies and procedures for the safeguarding of customer records and information to ensure ...
Sources assert this is an SEC enforcement letter that went to a broker-dealer in the agency's investigation of the business use of e-commmunications channels
Given cyber breaches, "we must do everything in our power to enhance cybersecurity practices by market participants and to protect investors’ sensitive personal information"
"When personal information or assets are stolen, the results can be calamitous. It can lead to identity theft, stolen savings, ruined credit, and other effects ...