Privacy

This notice from the CFTC revises the model privacy form under Gramm-Leach-Bliley Act. It would be worth your time to go through this Federal Register ...

Here is a list of best practices when it comes to issues of privacy.

If your firm has clients who live in Massachusetts and employs third-parties that handle sensitive client data, know that your contracts with these vendors must ...

When the government declares that something carries a safe harbor protection, it doesn't dictate that you must do something but simply states that if you ...

You also could consider forcing departing employees to sign a statement attesting that they have deleted any company records from their home computer

The SEC last week granted "no-action" relief to the Certified Financial Planner Board of Standards to help overcome a common reason RIAs and their reps ...

This is an SEC no-action letter from the Division of Trading and Markets provided to the Certified Financial Planner Board of Standards in March 2011. ...

You can continue to use the SEC's sample clauses under Reg S-P in your privacy notices next year but the safe harbor around their use ...

A peer shares the firm's annual privacy notice.

This is the model privacy form from the government designed for firms with no affiliate opt outs.