FINRA offers tips on managing vendor relationships
Relationships with vendors can make or break an advisor's business; FINRA officials and industry experts discuss best practices.
Source: financial-planning.com
Regs P News Today : Breaking News, Live Updates & Top Stories | Vimarsana
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Top News In Regs P Today - Breaking & Trending Today
United States - Security - SEC Adopts Amendments To Regulation S-P That Require Reporting Breaches Of "Sensitive Customer Information"
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).
Source: mondaq.com
United States - Securities - SEC Adopts Rule Amendments To Regulation S-P To Enhance Protection Of Customer Information
On May 16, 2024, the U.S. Securities and Exchange Commission ("SEC") announced the adoption of amendments to Regulation S-P that were proposed last year ("Final Amendments").
Source: mondaq.com
SEC Finalizes Data Breach Notification Rule
Advisers and investment companies must now inform their customers of data breaches within 30 days.
Source: plansponsor.com
SEC Finalizes Cybersecurity Disclosure Rules | Chief Investment Officer
Issuers will have to disclose ‘material cybersecurity incidents’ within 4 business days.
Source: ai-cio.com