Page 4 - உச்ச கூட்டணி News Today : Breaking News, Live Updates & Top Stories | Vimarsana

To embed, copy and paste the code into your website or blog: FINRA recently filed a Complaint against a Chief Executive Officer and Chief Compliance Officer of a registered broker-dealer alleging, among other things, that the individual caused the broker-dealer to have wide-ranging violations of the SEC’s Identity Theft Red Flags Rule, Regulation S-ID. (Read here) This is believed to be the first case FINRA has ever brought against an individual in the Reg. S-ID space, although the SEC previously brought a similar action against Voya Financial Advisors, Inc. (Read here) The recent Complaint comes on the heels of a settlement in December 2020 by the CEO/CCO’s broker-dealer, in which FINRA: (1) found that the firm violated Reg. S-ID and FINRA Rule 2010 by failing to develop and implement an appropriate written Identify Theft Program, (2) fined the firm $65,000, and (3) required the firm to notify potential impacted customers that their personal identifying information may have be

Henry clay smithId theft programSupreme allianceSupreme alliance id theft programIdentity theft prevention programIdentity theft prevention program idVoya financial advisors incTheft programChief executive officerChief compliance officerTheft red flags ruleVoya financial advisorsIdentify theft programIdentity theft proceduresUnder ruleIdentity theft