Data Matters

FEBRUARY 20, 2020

Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) and the Financial Industry Regulatory Authority (FINRA) recently published their examination priorities (together, the Examination Priorities) for the 2020 calendar year. Focus Areas for Both Broker-Dealers and Investment Advisers.

Retail 68

Retail Compliance Marketing Risk 68

Data Matters

JANUARY 24, 2020

Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) and the Financial Industry Regulatory Authority (FINRA) recently published their examination priorities (together, the Examination Priorities) for the 2020 calendar year. Focus Areas for Both Broker-Dealers and Investment Advisers.

Cybersecurity 68

Cybersecurity Retail Compliance Marketing 68

Data Matters

SEPTEMBER 29, 2021

To pick just two recent examples of the latter, the EU’s General Data Protection Regulation1 (GDPR) and the California Consumer Privacy Act2 (CCPA) both impose sweeping requirements on businesses with the aim of increasing consumers’ privacy and control over how their personal data is used. For example, in John B.

Privacy 97

Privacy e-Discovery Computer and Electronics e-Delivery 97