SEC’s New Identity Theft Red Flags Rules and How They Will Affect Investment Advisers

May 01, 2013

The U.S. Securities and Exchange Commission (“SEC”) recently released the final rules and guidelines for Identity Theft Red Flags Rules.  Some investment advisers will be affected by the new Identity Theft Red Flags Rules and will be required to develop and implement a written identity theft prevention program.

Has your investment adviser determined if it is affected by these new rules?

Join RIA Compliance Consultants on May 9, 2013, at 12:00pm CDT for, “Understanding the New Identity Theft Red Flags Rules and How SEC Registered Investment Advisers are Affected.”  SEC registered investment advisers should register to attend this webinar to gain an understanding of the new Identity Theft Red Flags Rules and receive guidance on how or if these new rules will affect your investment adviser.  During this webinar our compliance consultants will:

  • Provide an overview of Regulation S-ID: Identity Theft Red Flags and the deadline for compliance
  • Review some of the definitions that are necessary for an investment adviser to understand in order to determine if it is affected by the new rules like “financial institution”, “creditor”, and “transaction account”
  • Review the key elements that under the final rules must be included in the investment adviser’s identity theft prevention program
  • Provide guidance for determining which red flags may be relevant to an investment adviser’s business model
  • Review the guidelines adopted as an appendix to the Identity Theft Red Flags Rules that are intended to assist in developing and maintaining a written identity theft prevention program that will satisfy the requirements of the rules

Don’t wait until the last minute to begin developing your written identity theft prevention program!  Start the process today by registering to attend our webinar to help you make the determination of how or if the new Identity Theft Red Flags Rules will affect your investment adviser and to gain some tips to begin developing your written identity theft prevention program.  Click here to register for this webinar for only $69.95.

Posted by Bryan Hill
Labels: Identity Theft, SEC, Webinar