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SEC Announces Proposed Amendments to Regulation S-P.
On March 15, 2023, the Securities and Exchange Commission (SEC) announced proposed amendments (“Proposed Amendments”) to enhance Regulation S-P. Regulation S-P requires registered broker-dealers, investment companies, and investment advisers to "adopt written policies and procedures that address administrative, technical, and physical safeguards for the protection of customer records and information."
To learn more about these proposed amendments, click HERE.
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