26.3 C
Mon 27 Sep, 2021
The official Financial Regulation Journal of SAIFM
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SEC Fines Broker-Dealer $1 Million in First Enforcement Action Under Identity...

On September 26, 2018, the SEC announced a settlement with Voya Financial Advisers, Inc., a registered investment advisor and broker-dealer, for violating Regulation S-ID, as well as Regulation S-P. Together, Regulations S-ID and S-P are designed to require covered entities to help protect customers from the risk of identity theft and to safeguard confidential customer information. The settlement represents the first SEC enforcement action brought under Regulation S-ID.