Category Archives: Privacy Policy
 

SEC Risk Alert – Compliance Issues Related to Regulation S-P – Privacy Notices and Safeguard Policies

May 07, 2019

On April 16, 2019, the United States Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) issued a risk alert about “Compliance Issues Related to Regulation S-P – Privacy Notices and Safeguard Policies” to encourage investment adviser firms to review their written policies and procedures to, “ensure compliance with the relevant regulatory requirements.”

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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.

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