Compliance | GLBA

Financial Services + Insurance Providers

If you offer any financial products or services, like investment advice, accounting, tax preparation, or insurance, then the GLBA is for you.

GLBA (Gramm-Leach-Bliley Act) mandates that companies secure the private information of clients and customers, and are required to explain how they share and protect that information.

Additionally, depending on the nature of your business, companies in the financial industry may be subject to other regulations and requirements, such as regulations from the SEC (U.S. Securities and Exchange Commission) or rules from the FTC (Federal Trade Commission) and the IRS.

Non-compliance penalties can be as high as $100,000 per violation. So contact us to ensure your financial institution is in full compliance.

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