Data Matters

APRIL 6, 2022

1 Consistent with its recent rulemaking activity, in its accompanying release, the SEC highlighted private funds; Environmental, Social and Governance (ESG) investing; retail; cyber; and digital assets as key examination priorities. Private Fund, ESG Investing, Retail Investors, Cybersecurity, Fintech, and Digital Assets.

Retail 88

Retail Compliance Sales Risk 88

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. Share sales. Asset sales. For many of these businesses the one asset that will undoubtedly retain value, despite the pandemic, will be their customer database. Can this be done?

Personal data 100

Personal data Sales Marketing GDPR 100

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

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.

Sales 40

Sales Retail Privacy Access 40

Data Matters

OCTOBER 23, 2019

On October 10, 2019, this wait finally ended. Moreover, if the business operates a website, but primarily interacts with consumers in retail locations, it will be required to add a third option that allows consumers to submit a form that can be submitted in person at those locations. Right to Opt-Out of Sale.

Sales 60

Sales Privacy Passwords Compliance 60

Data Matters

MAY 13, 2019

It is, therefore, a timely exercise to stop and take stock of your terms and conditions in light of recent developments in the law, consumer expectations, and your legal risk profile. Online retailers must ensure that the necessary elements for a contract are satisfied. On January 8, 2019, the U.S. Archer and White Sales, Inc.,

Privacy 74

Privacy Risk Sales Access 74