Risk Alert: Investment Adviser and Broker-Dealer Compliance Issues Related to Regulation S-P – Privacy Notices and Safeguard Policies
It’s time to review the Privacy Notice and policies and procedures surrounding Regulation S-P, including Safeguarding of Client Assets. On April 16, 2019, the Office of Compliance Inspections and Examinations, issued a Risk Alert describing compliance issues noted during examinations … Read More ›