Ethics & Professional Responsibility: Mastering SEC’s Amendments to Regulation S-P

This one-hour course is designed for individuals who are involved in preparing, maintaining and/or testing an investment adviser’s privacy policy and information security policies and procedures. This course will delve into the recent amendments to SEC Regulation S-P including the specific requirements of the incident response plan, the mandatory customer notification obligation, due diligence of service providers and exception to the annual delivery of the privacy notice. This course provides one credit in the Ethics & Professional Responsibility category.

Course Objectives

1. Understand the SEC’s recent amendments to Regulation S-P and implications for investment advisers.
2. Learn the specific elements necessary under Regulation S-P for preparing and updating an incident response plan.
3. Master the new due diligence requirements for service providers with access to customer’s confidential information.
4. Understand the exception to the annual delivery of the privacy notice.