Privacy

The Commission is now proposing to restore the inadvertently deleted Detailed Requirements provision

GFI publicly represented itself as an interdealer broker (“IDB”) that generally maintained the anonymity of customer identities when brokering securities trades and communicating with potential ...

Commissioner approval of rules and interpretations tied to fiduciary duty represented a “culmination of decades of work,” noted Barbara Gunn, assistant regional director in the ...

“It’s very frustrating,” says another source close to the issue

Best practices include adding language to your terms of employment that prohibits a departing employee from taking sensitive client data; having departing employees sign an ...

After the initial privacy notice, another one is unnecessary unless these changes occur

The Commodity Futures Trading Commission (“CFTC” or “Commission”) is adopting amendments to revise its regulations requiring covered persons to provide annual privacy notices to customers. ...

Through sharing some of the Regulation S-P compliance issues it observed, OCIE encourages registrants to review their written policies and procedures, including implementation of those ...

With cybersecurity as hot as a black hole, it’s no surprise that OCIE wants advisers to take a new look at their cybersecurity P&Ps as ...

OCIE chalked up more than 2,000 IA exams in FY 2018, visiting 17% of all firms. These numbers may be out of reach in FY ...