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A Better Partnership


Nov 2013
November 20, 2013

Investment Adviser Association 2013 Fall Compliance Workshop: SEC – CTFC Red Flags Rules

On April 19, 2013, with November 20, 2013 as the compliance date, the Securities and Exchange Commission (SEC) and the Commodities Futures Trading Commission (CTFC) jointly adopted rules implementing their respective identity theft red flags rules and guidelines under the Fair and Accurate Credit Transactions Act of 2003 (FACTA). To read more about these rules, read the full article here.

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