privacy-data-security
Privacy and Data Security
Purpose
Guide the design, implementation, and operation of privacy and data security programs for SEC-registered investment advisers, broker-dealers, investment companies, and other financial services firms. This skill covers Regulation S-P (privacy of consumer financial information), Regulation S-ID (identity theft prevention), SEC cybersecurity rules and examination expectations, incident response requirements, state privacy law intersections, vendor and third-party risk management, data governance, and employee training obligations.
Layer
9 — Compliance & Regulatory Guidance
Direction
prospective
When to Use
- Designing or reviewing a firm's written information security program under the Reg S-P Safeguards Rule
- Drafting or updating initial and annual privacy notices under Reg S-P
- Evaluating whether the firm qualifies for the FAST Act annual privacy notice exception
- Building an Identity Theft Prevention Program under Reg S-ID (Red Flags Rule)
- Preparing for an SEC cybersecurity-focused examination
- Responding to a data breach or cybersecurity incident affecting customer NPI
- Assessing vendor and third-party service provider data security arrangements
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