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SEC Commissioner Peirce
"Assuming those inspiring words did not convince my colleagues to postpone this rulemaking until we undertake a moonshot harmonization project, let me highlight some other ...
Blue folder with the label Privacy Law
Take heed of your existing privacy programs and extend them to employees and business contacts
Worried woman having problems buying online
The new risk alert reiterates the main duties incumbent upon firms that are subject to the identity theft red flags rule and lists 'common deficiencies' ...
Stealing a credit card through a laptop concept for computer hacker, network security and electronic banking security
"Programs must include reasonable policies and procedures to identify relevant red flags for covered accounts offered by the firm and incorporate those red flags into ...
defense technology
None of the 40,000 back-up tapes handled by Moving Company complied with these policies and procedures. MSSB never inspected the equipment used to destroy those ...
Eighty-five percent of firms were victim of at least one fraud last year
If you’re with a U.S.-based adviser that escaped having to comply with the EU GDPR, it’s very likely that the UK version won’t touch you ...
The form of cyber-attack employs compromised client login credentials
The GLBA shield offers advisers that fall under the CCPA no protection regarding data breaches, though. Penalties can sting
Investors may seek choices in how their personal data is made available to and used by their investment advisers, just as they may seek choices ...

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