Compliance Solutions for Investment Advisers

Monthly Archives: April 2013

States Requiring Identify Theft Notification

With the recent passage of the Identity Theft Red Flags Rules by the SEC (in effect, applying existing rules specifically to investment advisers), the topic of identity theft has once again moved front and center. However, whatever their obligations on a federal level, advisers cannot lose sight of the fact that they also have obligations

SEC Adopts Rules to Help Protect Investors from Identity Theft

The Securities and Exchange Commission today voted unanimously to adopt rules requiring broker-dealers, mutual funds, investment advisers, and certain other entities regulated by the agency to adopt programs to detect red flags and prevent identity theft. FACT SHEET Preventing and Detecting Identity Theft SEC Open MeetingApril 10, 2013 Background The development and expansion of information