17/12/2022
Scammers don’t care if you’re on Santa’s nice list; they’re out to steal your holiday cheer, plus your money and personal info. For tips on how to protect yourself, visit fbi.gov/holidayscams. Go to ic3.gov to report suspicious activity and internet crime.
Today the Division of Examinations published a Risk Alert on observations from examinations of investment-advisers and broker-dealers regarding compliance with Regulation S-ID. Regulation S-ID requires the development and implementation of an identity theft prevention program for firms that offer or maintain covered accounts.
https://www.sec.gov/files/risk-alert-reg-s-id-120522.pdf
