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SEC and FINRA Issue 2020 Examination Priorities for Broker-Dealers and Investment Advisers

Data Matters

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 66
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SEC and FINRA Issue 2020 Examination Priorities (Including Cybersecurity) for Broker-Dealers and Investment Advisers

Data Matters

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).

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Predictions 2021: Disinformation, SPACs, Africa, Facebook, and a Return to Tech Optimism

John Battelle's Searchblog

There will be some movement – net neutrality will probably get reaffirmed and we’ll fix Trump’s H1-B messes, for example. But by year’s end folks will realize that antitrust suits are essentially kabuki, an exercise designed to go nowhere and maintain the status quo. Predictions 2014. 2014: How I Did.

Marketing 144