Privacy

Investment adviser execs are bullish about their business prospects and foresee substantial increases in headcount and AUM over the next one year and three years, ...

IA Watch spoke with Thomas Smedinghoff, of counsel with Locke Lord in Chicago, about what advisers should know about the EU's General Data Protection Regulation. ...

U.S.-based advisers that sell into the EU could be excused if they’re still perplexed by what the General Data Protection Regulation means to them one ...

You no doubt have been getting multiple e-mails from various parties touting their new privacy policies, detailing opt-in notices and calling out that the messages ...

Tim Hickman of White & Case in London gives RCW permission to share with you his firm's flowchart to help you determine if you are ...

You’re only two months away from the effective date of a new EU rule that carries potentially hugely expensive penalties for violations.   Perhaps you’ve ...

Recent OCIE document request letters obtained by IA Watch may be left to speak for the agency on the issue

This proceeding arises out of MSSB’s failure to adopt written policies and procedures reasonably designed to protect customer records and information, in violation of Rule 30(a) ...

Between 2011 and December 2014, Marsh was first a Client Service Associate and then a Financial Advisor at Morgan Stanley Smith Barney LLC (“MSSB”), a ...

It may be time to review your policies on maintaining the privacy of customer information obtained from newly hired brokers.   That’s the lesson from ...