Privacy

You now have a second chance to weigh in on FINRA’s controversial Comprehensive Automated Risk Data System. The SRO is now seeking comment on a ...

They cover the full range, from what is considered to be sensitive data to protective policies to actions should an identity theft be detected

This SEC rule is designed to protect against a client's identity being stolen

The new 115-page final rule states that certain investment advisers, investment companies and broker-dealers can fall under Regulation S-ID if they meet the definition of ...

This notice from the CFTC revises the model privacy form under Gramm-Leach-Bliley Act. It would be worth your time to go through this Federal Register ...

Here is a list of best practices when it comes to issues of privacy.

If your firm has clients who live in Massachusetts and employs third-parties that handle sensitive client data, know that your contracts with these vendors must ...

When the government declares that something carries a safe harbor protection, it doesn't dictate that you must do something but simply states that if you ...

You also could consider forcing departing employees to sign a statement attesting that they have deleted any company records from their home computer

The SEC last week granted "no-action" relief to the Certified Financial Planner Board of Standards to help overcome a common reason RIAs and their reps ...