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. …
Tag: cybersecurity
SEC Enforcement: A Review of 2Q21 (Part II)
This is the second part of a two part series reviewing the results of the Commission’s enforcement program for the first two quarters of 2021. The first part is available here. During the first half of 2021 the Commission brought …