Firm Element Customer Information Protection (Interactive)

Customer Information Protection (Interactive)

25.00 25.00
$25.00
PRICE PER USER
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  • Course Delivery: On Demand
  • Duration: 1 

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Description

This course will discuss the obligation of broker-dealers to protect customer information and the regulations governing that obligation. The material will be divided into two lessons:

  • Lesson 1: The Gramm-Leach-Bliley Act and Regulation S-P

  • Lesson 2: The Model Form Privacy Notice, Safeguarding Customer Information, and an Enforcement Example

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