Category Archives: Privacy Policy
 

Does Your Investment Adviser Have a Written Privacy Policy?

September 12, 2012

Under Rule 30 of Regulation S-P, registered investment advisers are required to implement a written security program to safeguard customer information.  Specifically, investment advisers are required to have in place an information security program that is reasonably designed to:

Continue Reading

Does Your Investment Adviser Have a Written Privacy Policy?

September 05, 2012

As we have previously discussed, Rule 30 of Regulation S-P (“Regulation S-P”) issued by the U.S. Securities and Exchange Commission (“SEC”) requires SEC registered investment advisers to adopt written policies and procedures designed to ensure the security and confidentiality of client information.  For state registered investment advisers, the Federal Trade Commission (“FTC”) has enacted Safeguard Rules which are similar to Regulation S-P and apply to state registered investment advisers.  Additionally some states have enacted their own information security requirements that apply to SEC and state registered investment advisers.

Continue Reading