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SEC Staff Issues Risk Alert on Safeguarding Client Information at Branch Offices

Reflecting an ongoing focus on both oversight of branch offices and safeguarding of client information, the SEC’s Division of Examinations has issued a Risk Alert on the “importance of establishing written policies and procedures for safeguarding customer records and information at branch offices.”

May 01, 2023

Keywords:  Privacy, Information Security, SEC

Categories & Topics: Compliance, Cybersecurity/Privacy

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