Introduction Part I of this article provided an overview of the actions brought by the Commission’s enforcement program during the third quarter of calendar year 2021 or the fourth quarter of the government fiscal year. During that period the program …
Tag: Safeguard rule
The Safeguard Rule: A New Focus?
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. …