2019 Examples Exercises Retail 
DLA Piper Privacy Matters
JANUARY 15, 2021
In late 2019, the Claimant issued proceedings and sought various relief, including in connection with an allegation that the Defendant had failed to provide data, contrary to the Data Protection Act 2018 ( “DPA 18” ) and the General Data Protection Regulation (EU) 2016/679 ( “GDPR” ).
Data Matters
FEBRUARY 20, 2019
On January 18, 2019, the New York State Department of Financial Services (NYDFS) issued Circular Letter 2019-1 (the Circular Letter), addressing insurers’ use of external consumer data and information sources in underwriting for life insurance.
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Data Protection Report
JUNE 1, 2020
Many businesses are suffering serious financial difficulties as a result of COVID-19, particularly those in the retail, hospitality and tourism sectors. For example, in February of this year, the FCA and ICO issued a joint statement warning regulated firms and insolvency practitioners of their responsibilities when dealing with personal data.
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.
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. Interpretation Regarding Standard of Conduct for Investment Advisers. Information Security .
Data Matters
SEPTEMBER 3, 2020
The Annuity Suitability Working Group (ASWG) led the NAIC’s multi-year efforts to develop revisions to the Suitability in Annuity Transactions Model Regulation (SAT) to incorporate a requirement for producers to act in the “best interest” of a retail customer when making a recommendation of an annuity. Revisions to SSAP No.
Data Protection Report
OCTOBER 11, 2019
On October 10, 2019, with just weeks to go until the law goes into effect, the California Attorney General released the long-awaited draft regulations for the California Consumer Privacy Act (CCPA). Written comments will be accepted by the Attorney General until 5 PM (Pacific time) on December 6, 2019. The rules are not final.
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