RCW coverage of Regulation S-P, the privacy rule
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Reg S-P
Try simply sending the vendor an email that states the vendor knows about the new notification requirements and revised Reg S-P
The SEC examiner said 'we’re going to want to talk with several people' during an exam
A peer passes on through RCW an example of a negative consent letter you can ask your vendors to sign to help with compliance with ...
It’s an annual tradition at RCW, asking compliance pros what they plan to accomplish in the new year. Here are some of their resolutions
A peer created this checklist to add the firm's compliance with revised Reg S-P
FINRA recommends firms "give careful consideration" to whether they fall into the "larger" or "smaller" category for purposes of coming compliance dates
Broker-dealer failed to establish and maintain a supervisory system "reasonably designed" to safeguard customer information
Expect examiners to 'look at your network segmentation, how do you break up your network to protect sensitive environments from' a public environment as well ...
Here are the seven elements that must be included in breach notices under revised Reg S-P
You may be tempted when the amendments to Reg S-P affect you to leave it to a vendor that experiences a breach involving your client’s ...
