Insights
Client Alert
SEC and CFTC Adopt Rules to Help Protect Investors from Identity Theft
April 18, 2013
BY THE INVESTMENT MANAGEMENT PRACTICE
The Securities and Exchange Commission (“SEC”) and Commodity Futures Trading Commission (“CFTC”) have jointly adopted rules to require various entities they regulate to adopt identity theft programs for the protection of investors. These rules require broker-dealers, investment companies, investment advisers, commodity pool operators, commodity trading advisors and other entities to adopt programs in order to help protect investors from the risks of identity theft.
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