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Reg S-P Requires Advisers to Inform Customers of Data Breaches
In addition to other registrants, advisers will have 30 days to inform their clients of any substantial data breach.
House Republicans Look to Curtail SEC Enforcement and Settlement Authorities
The bills under review on Tuesday would effectively limit the settlement amounts that the SEC can impose.
PTE 2020-02 and Compensation-Related Conflicts
PTE 2020-02 does not explicitly ban any adviser practices, but does require reasonable conflict mitigation policies regarding compensation.