The report says some firms have allowed unmonitored viewing of non-public data and informal interactions among different groups within broker dealers, placing confidentiality at risk.
Read the full article from Lexology.com here.
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SEC Identifies Shortcomings in Protecting Client Data
The Security and Exchange Commission’s Office of Compliance Inspections and Examinations has issued a report that identifies common weaknesses in how broker-dealers keep client data confidential, reports Lexology.com.
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