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

Data Matters

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

Data Matters

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.

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Predictions 2021: Disinformation, SPACs, Africa, Facebook, and a Return to Tech Optimism

John Battelle's Searchblog

In some ways, this is foolhardy – like predicting that the election would drive 2020, only to see it overwhelmed by COVID-19. Google does in 2021 what I predicted it would in 2020. Previous predictions: Predictions 2020. 2020: How I Did. Predictions 2017. 2017: How I Did. And off we go… 1.

Marketing 144
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EDPB publishes guidance on calculating GDPR fines

Data Protection Report

The Guidelines supplement the Article 29 Working Party’s Guidelines on the application and setting of administrative fines ( WP253 ) adopted in October 2017 and recommends that the two are read together. The variation range in the illustrations is 10%-40% increase or decrease. Categories of personal data affected (e.g. Less than 2m.

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Nation-State-Sponsored Attacks: Not Your Grandfather’s Cyber Attacks

Data Matters

At the end of 2021, DDoS attacks had grown more than 24%, while the total number of smart attacks (advanced, often targeted, DDoS attacks) had increased by 31% when compared to the same period in 2020. In December 2020, Mandiant informed the public about an advanced cyberattack, which later became known as the SolarWinds attack.

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EU Council Agrees on Proposed ePrivacy Regulation

Data Matters

On February 10, 2021, the Council of the European Union (which includes representatives of the European Union (EU) member states, hereinafter Council) reached an agreement on the ePrivacy Regulation proposal that governs the protection of privacy and confidentiality of electronic communications services (ePrivacy Regulation).

GDPR 68
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The Burden of Privacy In Discovery

Data Matters

10 At that time, it was aimed most squarely at curbing the types of duplicative, excessive, “scorched earth” discovery practices that were prevalent — i.e., at the problem of so-called “overdiscovery.”11 Thus, while many preservation steps can seem like passive exercises, the impact on privacy can be significant. 10 Edward D.

Privacy 97