Brice Prince, Special Counsel, SEC’s Division of Trading and Markets. He joined the SEC in 2001 after private practice in Washington and Boston. He has worked on issues ranging from rulemaking to implementing the affiliate marketing provisions of the FACT Act.
Paul Glenn, counsel for the Investment Adviser Association (IAA) in Washington. He joined the IAA in 2006 and works on various legal issues. Paul worked for 12 years at the SEC as a trial attorney and special counsel in the Division of Enforcement and the Office of General Counsel. He also has been at the Office of Thrift Supervision, U.S. Treasury and served as Vice President and Director of Compliance for PNC Bank N.A. in Washington.
Knut Rostad, Chief Compliance Officer, Rembert Pendleton Jackson, a registered investment adviser in Falls Church, Va. He has represented the firm before the SEC and in Congress, and has written articles and been quoted in trade and business publications. He serves on the Financial Planning Association’s Government Relations Committee, and has been appointed to serve on its’ “Best Practices” Task Force Panel.
Robert Johnson, founder and Executive Director of the Phoenix-based National Association for Information Destruction, a trade association for the secure destruction industry. He speaks and writes often on the topic of information destruction, including contributing to the association’s new Information Destruction Policy Compliance Toolkit.
If you do not get the guidance you need, we’ll refund your entire registration fee. 100% Guaranteed!
This webinar was originally recorded Tuesday, October 7, 2008, 2:00 – 3:30 p.m., but due to the overwhelming demand for the recording, we have made it available on CD for your convenience.
Webinars are sponsored by IA Week, a publication of IA Watch, the nation’s leading provider of practical guidance and regulatory advice to compliance professionals in the advisory industry.
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All the benefits of a seminar without leaving your office!
Information travels in nanoseconds these days, meaning sensitive data can find their way into the wrong hands with one slip of the mouse.
Congress and the SEC place stringent requirements on advisory firms to protect highly confidential client data, even as the Commission nears an expansion of your compliance requirements under its proposed Reg S-P rule.
Set aside a few minutes to be sure you understand the coming changes and your current responsibilities as it relates to information security, record-keeping, privacy policies, destruction of sensitive data, and other key components of the regulation. Plus, hear an overview of the proposed changes and what you need to do now to ensure timely compliance.
Make sure you and your firm are ready. Order the CD Rom of What Reg S-P Means for Advisers: Insights into New Rules, Plus Compliance Guidance today and find out:
- How to comply with new standards for data security breaches
- The far-reaching implications of the new rules on “employees” and “institutional investors” – and why the SEC may have gone too far
- Do’s and don’ts when it comes to safe destruction of sensitive data
- Your responsibilities to notify your clients of your policies and data breaches
- What’s considered “public” and “non-public” data
- The real costs of compliance – government estimates range from $10,000-$170,000/year, depending upon firm size
- How you may be able to save money on records storage
- What you must know before contracting with any firm that promises true e-record destruction
- How you must document your compliance with privacy rules
- What a rep can take with them when they leave a firm
- And much more.
YES, please rush me a copy of the CD and the speaker presentation materials of the webinar, What Reg S-P Means for Advisers: Insights into New Rules, Plus Compliance Guidance for $245 [A1575CD].
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