Nancy Lininger
Back to Store View Cart Nancy Lininger
Online Store
FPA Partnership
Free Resources
Press Room
Dear Reader
Identity Theft - "Red Flags Rule"




Identity Theft - "Red Flags Rule"

Financial institutions (inclusive of RIAs and BDs) must establish a red flags program in accordance with SEC Regulation S-ID. The rule requires firms to create a written Identity Theft Prevention Program ("ITPP") designed to identify, detect and respond to "red flags" that could indicate identity theft.
The ITPP shall cover:

  • Identifying relevant red flags
  • Detecting red flags
  • Preventing and mitigating (responding to) red flags
  • Updating the Program
  • Administering the Program

The ITPP template is delivered in WORD for your easy customization. It complies with regulatory requirements for both RIAs and BDs.
The Red Flags Rule package includes:

  • ITPP template
  • Red Flags Rule information
  • Red Flags Rule sample policy
  • Red Flags Rule service provider representation
  • Privacy Breach Steps - Internal
  • Privacy Breach Steps Client Checklist
  • Privacy Breach Log
  • Privacy Breach Letter
  • Privacy & Data Security - Tips for Firms
  • ID Theft: What to Do - Tips for Consumers

The Consortium
5285 Meadows Road, Ste 199
Lake Oswego, OR 97035
(971) 801-1346

© 2009-2018 The Consortium. All rights reserved.
Privacy Policy