Leading Asset Management Firm
Preparation for Data Privacy Compliance
In anticipation of a potential SEC privacy compliance review, a leading asset management firm sought to validate the current state of its data privacy compliance program and prepare for anticipated changes in global privacy laws. The client engaged RGP Legal to help ensure the assessment was precise and comprehensive.
How We Helped
We developed a three-phase approach to the project: (1) initial assessment and data collection; (2) gap analysis and development of a uniform privacy compliance approach; and (3) knowledge transfer and remediation, as needed.
- Refining GLBA customer notices, website privacy statements and privacy compliance policy
- Preparing new information security policies and ensuring proper documentation of related policies
- Establishing monitoring and response tools
- Conducting training
- Providing knowledge transfer
After gaining a full understanding of the client’s environment, RGP Legal generated an inventory of potential applicable regulations, identified gaps and, together with the project sponsor, developed short and long-term remediation plans.