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SEC Modernizes Data Protection Rules for Safeguarding Customer Information | WilmerHale

SEC Modernizes Data Protection Rules for Safeguarding Customer Information | WilmerHale
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Financial Services Insurance in an Era of Regulatory Risk | Woodruff Sawyer

Financial Services Insurance in an Era of Regulatory Risk | Woodruff Sawyer
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FINRA offers tips on managing vendor relationships

Relationships with vendors can make or break an advisor's business; FINRA officials and industry experts discuss best practices.

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United States - Security - SEC Adopts Amendments To Regulation S-P That Require Reporting Breaches Of "Sensitive Customer Information"

On May 15, the Securities and Exchange Commission adopted amendments to Regulation S-P, which covers broker-dealers, registered investment advisors (RIAs), and investment companies (funds).

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SEC adopts amendments to Regulation S-P to address risks associated with the expanded use of technology | A&O Shearman

SEC adopts amendments to Regulation S-P to address risks associated with the expanded use of technology | A&O Shearman
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