Monthly Archives: December 2015

Annual Privacy Requirement Ends – If…

Last week, the President signed into the highway bill. Buried in the new law is a provision amending the requirement that investment advisers and other financial institutions send out annual privacy notice to customers. The new law, which takes effect … Continue reading


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Cloud Provider Due Diligence

After the recent enforcement action against a financial advisor for failing to complete the proper due diligence on their cloud provider which ended in a compromise to their data, I am rerunning my blog earlier this year regarding Cloud Provider … Continue reading

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