Privacy

This is an SEC no-action letter from the Division of Trading and Markets provided to the Certified Financial Planner Board of Standards in March 2011. ...

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 ...

A peer shares the firm's annual privacy notice.

This is the model privacy form from the government designed for firms with no affiliate opt outs.

This is the government's model privacy form for firms with an affiliate but no opt out.

This is the government's model privacy notice for firms without an affiliate and no opt out.

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 ...

An example of a privacy policy courtesy of one of your peers.

A peer shares its privacy policy statement.

You certainly know the risks firms can face for violating the privacy protections of Reg S-P IA Watch, July 27, 2009), so it may surprise ...