On May 15, the Securities and Exchange Commission adopted amendments to Regulation S-P, which covers broker-dealers, registered investment advisors (RIAs), and investment companies (funds). These entities are now required to...more
5/28/2024
/ Broker-Dealer ,
Customer Information ,
Cybersecurity ,
Data Breach ,
FACTA ,
Financial Institutions ,
Gramm-Leach-Blilely Act ,
Investment Adviser ,
Investment Companies ,
New Amendments ,
Personal Information ,
Regulation S-P ,
Reporting Requirements ,
Securities and Exchange Commission (SEC)