Risk Alert: Observations From Broker-Dealer and Investment Adviser Compliance Examinations Related to Prevention of Identity Theft Under Regulation S-Id

Today the Division of Examinations published a Risk Alert to highlight observations from recent examinations of SEC-registered investment advisers (“advisers”) and broker-dealers (together with advisers, “firms”) related to compliance with Regulation S-ID.

View the Risk Alert: Observations From Broker-Dealer and Investment Adviser Compliance Examinations Related to Prevention of Identity Theft Under Regulation S-Id