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Tag Archives: Usernames
Investment Advisers Cautioned not to Use Client Usernames and Passwords to Access Accounts
Investment advisers’ use of clients’ usernames and passwords to access their clients’ accounts to observe the accounts’ performance has come under scrutiny in recent years. In February 2017, the SEC Office of Compliance Inspections and Examinations (“OCIE”) disclosed in a … Continue reading
Posted in Banking and Finance law
Tagged Access, Accounts, Advisers, Cautioned, Client, Investment, Passwords, Usernames
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