Privacy breaches are on the rise among companies, and investment advisers are not immune. A new privacy breach notification law became effective on January 1, 2014. Find out what it could mean for your firm. Plus – the SEC plans to hold its next Compliance Outreach seminar.
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- New Form ADV: What you need to know to file your Annual Updating Amendment
- Due Diligence of Sub-Advisers and Other Third-Parties
- Diminished Capacity and Senior Clients: What Steps Compliance Can Take to Protect its Firm and the Client
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