The Safeguard rule is designed to protect customer information. For this reason it is important that investment advisers and broker-dealers adopt and properly implement reasonably designed policies and procedures. In the age of cybersecurity, no doubt the rule is key. …
Year: 2021
This Week In Securities Litigation (Week of August 30, 2021)
The Commission published a request for comments with respect to the use of digital engagement practices or DEPs this week, discussed below. In a separate statement, issued on August 27, 202, Chair Gensler highlighted two key points of concern. One …
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