Investment Adviser and Broker-Dealer Compliance Issues Related to Regulation S-P - Privacy Notices and Safeguard Policies

Topic: A list of compliance issues related to Regulation S-P, the primary SEC rule regarding privacy notices and safeguard policies of investment advisers and broker-dealers

Key takeaways: Registrants should review their written policies and procedures, including implementation of those policies and procedures, to ensure that they are in compliance with the relevant regulatory requirements.  

View the Risk Alert: Risk Alert: Investment Adviser and Broker-Dealer Compliance Issues Related to Regulation S-P - Privacy Notices and Safeguard Policies (PDF)