Learn what makes a good privacy policy and keep your firm's—and your clients'—data secure.
The SEC has issued new rule change proposals and reopened a comment period on a previous rule proposal. Read on to learn more about these recent SEC updates.
Like most legal documents, privacy policies are fairly bland, and, let’s be honest, few people read them.
General Data Protection Regulation (“GDPR”) falls under the European Union’s data privacy and protection laws and became effective on May 25, 2018. GDPR defines how businesses collect and store customer data, including names, location, identity, online identifiers, etc.
If your firm is subject to the CCPA and you are not prepared to comply with the law, get our help here.
California recently passed amendments to the California Consumer Protection Act (“CCPA”), which took effect on January 1, 2020.
Financial firms, including broker-dealers and registered investment advisers, are at a high risk of cybersecurity attacks primarily because they control both their own data and the sensitive data related to clients.
Here are examples of the most common deficiencies or weaknesses identified by OCIE staff in connection with the Safeguard Rule.
