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.
Listen to the podcast below:
You can also download this podcast by right clicking here and selecting save as.
- The Cost of Compliance: Understanding and Leveraging Resources
- Standards of Business Conduct: Personal Trading and Beyond
- Performance Advertising and Fees disclosures: Best practices for SEC and GIPS compliance
Recent ComplianceCast™ Minutes