🎓SEC to Host Webinar for Transfer Agents on Regulation S-P
The SEC is stepping up its game on Regulation S-P compliance with a dedicated webinar for transfer agents. This event aims to demystify the new rules and ensure everyone's on the same page before the 2024 deadline hits.
Key Points
- •📅 Mark Your Calendar: Webinar set for December 17 from 1 p.m. to 2 p.m. ET
- •🎯 Who Should Attend: Transfer agents and small firms
- •🛡️ Focus: New compliance obligations under Regulation S-P
- •🗣️ Speakers: Staff from the Divisions of Examinations and Trading and Markets
- •📋 Advance Registration: Not required, but preferred
📅 Save the Date
The SEC has announced a crucial webinar for transfer agents on December 17, from 1 p.m. to 2 p.m. ET. This is the second in a series of compliance outreach events focusing on the 2024 amendments to Regulation S-P. If you're a transfer agent, this is your chance to get ahead of the curve before the compliance deadline.
🛡️ Demystifying Regulation S-P
Regulation S-P might sound like just another piece of legal jargon, but it's all about protecting investors' personal information. Keith Cassidy, Acting Director of the Division of Examinations, emphasized the importance of this regulation, stating, "When investors share their personal information with a firm, they deserve to know that this information will be protected." This webinar aims to break down the new compliance obligations and help transfer agents understand what's expected of them.
🗣️ What to Expect
During the webinar, staff from the Divisions of Examinations and Trading and Markets will cover the new Regulation S-P compliance obligations. They’ll also discuss what to expect during an examination and answer any lingering questions you might have. It's a golden opportunity to get direct insights from the folks who know the rules inside out.
🎟️ How to Join
While advance registration is not mandatory, it's definitely encouraged. You can register here and even submit your questions in advance. On December 17, just head over to www.sec.gov to watch the event live. More details, including the agenda and speaker lineup, will be available on the Reg Compliance S-P Outreach webpage.