Sunbelt Blog: No anti-virus software or procedures = compliance i$$ue - 0 views
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sandy ingram on 29 Oct 09"Commonwealth Equity Services LLP of Waltham, Mass., agreed to pay the penalty for failing to have anti-malware software on its reps computers or written security policies to deal with security breaches. Securities brokers and registered investment advisors are required by SEC regulations to have written procedures to protect customer information."