Federal and State Regulations Governing Investment Adviser Privacy Safeguards

November 2013


In response to the Gramm-Leach-Bliley Act (“GLB Act”) that was enacted by Congress in 1999, both federal and state regulatory agencies have promulgated extensive rules pertaining to consumer privacy notifications and the safeguarding of nonpublic personal information.

To read the full PDF article, click here.

Leave a Reply

Your email address will not be published. Required fields are marked *