OCIE Publishes Risk Alert Regarding Regulation S-P Compliance Issues

OCIE Publishes Risk Alert Regarding Regulation S-P Compliance Issues


By: Stacey Song, Joanna D. Rosenberg

On April 16, 2019, the Office of Compliance Inspections and Examinations (“OCIE”) published a Risk Alert (the “Risk Alert”) listing examples of the most common deficiencies and weaknesses identified by its staff in connection with Regulation S-P. The Risk Alert is intended to assist investment advisers and broker-dealers (“firms”) registered with the Securities and Exchange Commission (“SEC”) in providing compliant privacy and opt-out notices, and in adopting and implementing effective policies and procedures for safeguarding customer records and information.

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