SEC’s Proposed Rules for Detecting and Preventing Identity Theft –Compliance Best Practices
Abstract:The Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) have jointly announced a rule proposal to help protect investors from identity theft. This is to be done by ensuring that SEC- and CFTC- regulated entities detect and respond to warning signs or red flags.
This article details best practices that firms can follow in order to ensure compliance with the proposed rule.
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