Tag Archives: privacy notice

SEC Issues Privacy and Data Security Risk Alert

Following recent examinations of SEC-registered investment advisers and broker-dealers, the Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) published a privacy risk alert on April 16, 2019. OCIE is hoping to remind advisers and broker-dealers about providing compliant privacy and opt-out notices, and adopting and implementing effective policies and procedures for safeguarding … Continue Reading

Happy Holidays Financial Institutions, Less Privacy Paperwork in the New Year

It seems the White House and Congress can agree on at least one thing—financial institutions are over-burdened by current privacy notice rules. In a move that is hoped to save financial institutions significant costs on postage, printing and administrative resources, on Friday, December 4, 2015, President Obama signed the Fixing America’s Surface Transportation Act (the … Continue Reading
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