SEC’s Office of Compliance Inspections and Examinations Issues Risk Alert Highlighting Compliance Issues Related to Regulation S-P

April 24, 2019

On April 16, 2019, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations issued a risk alert on compliance issues related to Regulation S-P.

Seward & Kissel has recently prepared a memorandum “Investment Adviser and Broker-Dealer Compliance Issues Related to Regulation S-P – Privacy Notices and Safeguard Policies” that discusses the risk alert in greater detail.


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Compliance, Investment Advisers, Investment Companies, Mutual Funds, Regulatory