Privacy

Recent OCIE document request letters obtained by IA Watch may be left to speak for the agency on the issue

This proceeding arises out of MSSB’s failure to adopt written policies and procedures reasonably designed to protect customer records and information, in violation of Rule 30(a) ...

Between 2011 and December 2014, Marsh was first a Client Service Associate and then a Financial Advisor at Morgan Stanley Smith Barney LLC (“MSSB”), a ...

It may be time to review your policies on maintaining the privacy of customer information obtained from newly hired brokers.   That’s the lesson from ...

Santos shared confidential information pertaining to at least 14 of his customers’ accounts with an outside third party. Using a personal email address instead of ...

Only the European Parliament stands in the way of blocking what looks like a sure eventuality: adoption of the EU’s new data protection rule (IA ...

This is the highway bill signed into law in 2015. It includes a provision eliminating advisers and others from sending out an annual privacy notice ...

Last week, the President signed into law the highway bill. Buried in the new law is a provision amending the Gramm-Leach Bliley Act’s requirement that ...

Gemmer Asset Management permits IA Watch to share with you its cybersecurity policy related to access to client information.

For three years, EU authorities have kicked around the idea of adopting a data protection regulation. Predictors believe that regulation will be finalized in the ...