left-caret
Insights

client alerts

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.

Practice Areas


Contributors

Image: Jacqueline A. May
Jacqueline A. May
Of Counsel, Corporate Department
Image: Michael R Rosella
Michael R Rosella
Partner, Corporate Department
Image: Arthur L Zwickel
Arthur L Zwickel
Partner, Corporate Department
Image: Christian Parker
Christian Parker
Partner, Corporate Department
Image: David A Hearth
David A Hearth
Partner, Corporate Department