Privacy

Santos shared confidential information pertaining to at least 14 of his customers’ accounts with an outside third party. Using a personal email address instead of ...

Only the European Parliament stands in the way of blocking what looks like a sure eventuality: adoption of the EU’s new data protection rule (IA ...

This is the highway bill signed into law in 2015. It includes a provision eliminating advisers and others from sending out an annual privacy notice ...

Last week, the President signed into law the highway bill. Buried in the new law is a provision amending the Gramm-Leach Bliley Act’s requirement that ...

Gemmer Asset Management permits IA Watch to share with you its cybersecurity policy related to access to client information.

For three years, EU authorities have kicked around the idea of adopting a data protection regulation. Predictors believe that regulation will be finalized in the ...

Four years after the Certified Financial Planner Board of Standards obtained an SEC “no-action” letter (IA Watch, March 21, 2011) permitting investment advisers and broker-dealers ...

(a) Initial notice requirement. You must provide a clear and conspicuous notice that accurately reflects your privacy policies and practices to: (1) Customer. An individual ...

(a)(1) General rule. Except as provided by paragraph (d) of this section, you must provide a clear and conspicuous notice to customers that accurately reflects ...

(a) General rule. The initial, annual, and revised privacy notices that you provide under §§160.4, 160.5 and 160.8 must include each of the following items ...