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.”
SEC proposes expanding its data privacy rules to require advisers to implement incident response programs and notify clients of unauthorized access or use of sensitive client information; reopens comment period for adviser cybersecurity proposal.
The IAA submitted comments to the SEC on three major rule proposals affecting investment advisers – cybersecurity, beneficial ownership, and T+1 settlement.
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