WEALTHCARE FINANCIAL GROUP, INC. Policy is designed to comply with applicable privacy laws, including the Gramm-Leach-Billey Act (“GLBA”), and to protect nonpublic personal information of the firm’s clients.
Guidelines for Protecting Client Information
In accordance with Regulation S-P, financial institutions are required address the steps that it takes in order to protect client information. This information should be document in policies, procedures, and a notice sent to clients.
The standards that must be upheld are:
- Ensure the security and confidentiality of client records and information;
- Protect against any anticipated threats or hazards to client records and information; and
- Protect against unauthorized access to or use of client records or information that could result in substantial harm or inconvenience to any client.