Data Matters

FEBRUARY 20, 2020

Protection of Retail Investors . For both broker-dealers and investment advisers, OCIE will continue to emphasize the protection of retail investors, particularly seniors and those saving for retirement. Retail-Targeted Investments. 1 In general, the 2020 Examination Priorities continue recurring themes from recent prior years.

Retail 68

Retail Compliance Marketing Risk 68

Data Matters

JANUARY 24, 2020

Protection of Retail Investors . For both broker-dealers and investment advisers, OCIE will continue to emphasize the protection of retail investors, particularly seniors and those saving for retirement. Retail-Targeted Investments.

Cybersecurity 68

Cybersecurity Retail Compliance Marketing 68

Reltio

JULY 10, 2019

I’ve been in enterprise sales and sales management for just over 20 years now – mostly on the business application side of the house including numerous early stage start ups and the big household names like IBM and SAP. Coming from a pure apps background, we all knew of MDM but did not have an infrastructure sales background.

MDM 40

MDM Sales Digital transformation Cloud 40