Tag: Regulation S-P
The Reg S-P compliance deadline is right around the corner
The SEC's 2024 amendments to Regulation S-P take effect June 3 for smaller firms. If your incident response plan, written information security program, & vendor oversight aren't in place, this is now urgent and the time to act is now
Compliance services explainer video
Building or upgrading your compliance program? Confluence delivers confidence, continuity, and control.
HEADS UP: SEC Division of Examinations
identifies gaps and signals need for main office policies and procedures to be applied at branch office locations
Incident reporting on the SEC’s radar as regulator seeks to mandate a federal breach notification standard
A steady increase in the threat that data breaches pose to individual investors has spurred the Securities and Exchange Commission to revisit the issue of safeguarding customer information. On March 15th, 2023, the SEC published proposed changes for Regulation S-P. The proposal is designed to provide registered investment advisers’ clientele with sufficient notice of any data […]