Privacy

The Golden State takes pleasure in being the first in the nation at things and this record continues after the state has passed the country’s ...

Better late than never. Three years after the SEC amended its privacy rules eliminating the requirement to send customers an annual notice if nothing has ...

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

ITG did not adequately limit access to GATE, a firm system containing all order flow routed through ITG, including open child-level POSIT order information for ...

Investment adviser execs are bullish about their business prospects and foresee substantial increases in headcount and AUM over the next one year and three years, ...

IA Watch spoke with Thomas Smedinghoff, of counsel with Locke Lord in Chicago, about what advisers should know about the EU's General Data Protection Regulation. ...

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 ...

You no doubt have been getting multiple e-mails from various parties touting their new privacy policies, detailing opt-in notices and calling out that the messages ...

Tim Hickman of White & Case in London gives RCW permission to share with you his firm's flowchart to help you determine if you are ...

You’re only two months away from the effective date of a new EU rule that carries potentially hugely expensive penalties for violations.   Perhaps you’ve ...