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.
- Diminished Capacity and Senior Clients: What Steps Compliance Can Take to Protect its Firm and the Client
- Ethics: Building a More Ethical Workforce
- One Phish, Two Phish, Red Phish, Blue Phish: How to Detect and Mitigate Social Engineering and Ransomware Techniques
Recent ComplianceCast™ Minutes