Identity Theft

Identity theft can and is a horrible experience for the victim and their family.  There are so many tactics one can take and the suggestion box is overflowing with ideas and opinions.  The SEC has begun to put into place new rules to address this risk. The SEC is requiring Advisors to put into place “Red Flag” processes to identify any potential events.  Firms, especially the typical wealth management firm, needs to amend their compliance program and have in written policies to supervise and monitor client accounts.

RegMaven works with firms on improving your compliance program and aligning the risks your firm are potentially faced with, both from a complaince and business perspective