On June 20, 2017, the U.S. Chamber of Commerce announced that a consortium of more than two dozen chamber member companies, including prominent big banks, big-box retailers, and technology giants released a set of principles...more
On September 15, 2015, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) issued a National Exam Program Risk Alert (2015 Risk Alert) to provide broker-dealers and investment...more
9/29/2015
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Compliance ,
Cyber Attacks ,
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Investment Adviser ,
OCIE ,
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Privacy Policy ,
Regulation S-P ,
Risk Alert ,
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