Reg S-P

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 ...

Expect SEC examiners to inquire about your efforts to comply with amended Reg S-P, so it's best to document your compliance prep steps

The Reg S-P issue stemmed from failing to notify insurance carriers when certain registered reps left the firm

As the deadline inches nearer to comply with the SEC’s revisions to Regulation S-P, look for the Commission’s Exams Division to help you get ready