Tag: Information Security
SEC Staff Issues Risk Alert on Safeguarding Client Information at Branch Offices
Reflecting an ongoing focus on both oversight of branch offices and safeguarding of client information, the SEC’s Division of Examinations has issued a Risk Alert on the “importance of establishing written policies and procedures for safeguarding customer records and information at branch offices.”
May 01, 2023
Tags: Privacy, Information Security, SEC
SEC proposes expanding its data privacy rules to require advisers to implement incident response programs and notify clients of unauthorized access or use of sensitive client information; reopens comment period for adviser cybersecurity proposal.
March 16, 2023
Tags: Privacy, Information Security, SEC
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