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SEC Issues Risk Alert Dealing with Regulation S-P Privacy Notices & Safeguard Policies

by | Aug 22, 2019 | Investment Adviser Representative, Office of Compliance Inspections and Examinations (OCIE), Regulation S-P, RIA Compliance, RIA Compliance Policies, SEC Cybersecurity, SEC Investment Adviser Compliance, State Investment Adviser Compliance

On April 16, 2019, the SEC’s Office of Compliance Inspections and Examinations (OCIE) published a Risk Alert dealing with Regulation S-P, which is the Commission’s primary rule governing privacy notices and the safeguarding policies of Registered...