2010, Examples, Exercises and Military - Information Management Today

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2010

Examples

Exercises

Military

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

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

Retail Compliance Marketing Risk

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

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., Financial Technology (FinTech) and Digital Assets. The following is a discussion of salient points in the FINRA Letter.

Cybersecurity

Cybersecurity Retail Compliance Marketing

Webinars

Peak Performance: Continuous Testing & Evaluation of LLM-Based Applications

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

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

Webinars

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