4/22/19
By: Jennifer Lee On April 16, 2019, the U.S. Securities and Exchange Commission (“SEC”) issued a Risk Alert summarizing the findings from the examinations of broker-dealers and investment advisers’ privacy practices and compliance with Regulation S-P. Regulation S-P, 17 C.F.R. § 248.30, was enacted to protect the privacy of customers and their information. It has…