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Regulation S-P - SEC. gov The requirement that policies and procedures be written has been in place since 2005 See: Release 34-50781, Disposal of Consumer Report Information, Section II, B Rule 30 (a): Procedures to Safeguard Customer Records and Information (Dec 2, 2004) The relevant text of Regulation S-P is available at: 17 C F R 248 30
Safeguard Metals LLC and Jeffrey S. Santulan - SEC. gov The Securities and Exchange Commission today announced charges against Safeguard Metals LLC, and its owner, Jeffrey Santulan, for engaging in a multi-million dollar fraudulent scheme involving hundreds of investors who were at or near retirement age
SEC Proposes Enhanced Safeguarding Rule for Registered Investment Advisers The Securities and Exchange Commission today proposed rule changes to enhance protections of customer assets managed by registered investment advisers If adopted, the changes would amend and redesignate rule 206 (4)-2, the Commission’s custody rule, under the Investment Advisers Act of 1940 and amend certain related recordkeeping and reporting obligations “I support this proposal because
Final Report on Minimum Safeguards As explained above, this topic is not aimed to safeguard against harm, but to promote technological transfer to certain countries and regions For this reason, it is not relevant for MS
FACT SHEET Final Rules: Enhancements to Regulation S-P Incident Response Program To help protect against harms that may result from a security incident involving customer information, the amendments require covered institutions to adopt an incident response program as part of their written policies and procedures under the safeguards rule The amendments require an incident response program to be reasonably designed to detect, respond to, and
Regulation S-P: Privacy of Consumer Financial Information and . . . In addition, the amendments extend the application of requirements to safeguard customer records and information to transfer agents; broaden the scope of information covered by the requirements for safeguarding customer records and information and for properly disposing of consumer report information; impose requirements to maintain written
SEC. gov | SEC Adopts Rule Amendments to Regulation S-P to Enhance . . . The Securities and Exchange Commission today announced the adoption of amendments to Regulation S-P to modernize and enhance the rules that govern the treatment of consumers’ nonpublic personal information by certain financial institutions The amendments update the rules’ requirements for broker-dealers (including funding portals), investment companies, registered investment advisers, and
Safeguard Metals LLC and Jeffrey Ikahn - SEC. gov The Securities and Exchange Commission recently amended its complaint charging Safeguard Metals LLC and its owner Jeffrey Ikahn with engaging in a multi-million fraudulent scheme involving hundreds of investors who were at or near retirement age
Safeguard Metals LLC and Jeffrey Ikahn (f k a Jeffrey S. Santulan) In 2022, the SEC charged Safeguard and Ikahn with operating a multi-million-dollar fraudulent scheme involving the sale of gold and silver coins to hundreds of investors who were at or near retirement age