Info Source

AUGUST 29, 2022

However, due to the Russian military invasion of Ukraine, and resulting economic sanctions, draining of foreign investments (but of course also because of other perennial problems plaguing the Russian economy), the market has been in fundamental confusion ever since, which will undoubtedly continue for some time. 771 million EUR).

Marketing 52

Marketing Manufacturing Sales Military 52

Data Matters

FEBRUARY 20, 2020

OCIE will also continue to focus on broker-dealers’ controls surrounding mobile and online access to customer brokerage account information, as well as RIAs’ protection of their clients’ personal financial information (with respect, for example, to access controls, data loss prevention, training, and incidence response and resiliency).

Retail 68

Retail Compliance Marketing Risk 68

Data Matters

JANUARY 24, 2020

OCIE also will focus on recommendations and advice provided to retail investors, with a particular emphasis on seniors, retirees, teachers and military personnel, as well as products that the SEC considers higher risk (e.g., Direct Market Access Controls. Financial Technology (FinTech) and Digital Assets. Best Execution.

Cybersecurity 68

Cybersecurity Retail Compliance Marketing 68