Although Regulation S-P (“Reg S-P”) appears to be a fairly straightforward rule, requiring “protection of customer information,” the constant change in technology, interpretations from regulators, and new threats from hackers make safeguarding non-public information an issue that is ever evolving and increasingly difficult to track.
In this course the following topics will be discussed:
- The Source of Regulation S-P
- Safeguarding and disposing of client information
- Recent provisions to allow representatives to retrieve and retain confidential client information
- Regulation S-AM
Subject Matter Expert
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