Data Matters

APRIL 10, 2018

On April 3, 2018, the Financial Crimes Enforcement Network (FinCEN) issued new frequently asked questions (FAQs) regarding its customer due diligence rule (CDD Rule). These FAQs are timely because the May 11, 2018 compliance date for the CDD rule is fast approaching. Accounts Opened Before May 11, 2018.

Retail 68

Retail Risk IT Privacy 68

Data Matters

JANUARY 16, 2019

On December 20, 2018, the Office of Compliance Inspections and Examinations (OCIE) of the U.S. In fiscal year (FY) 2018, the OCIE National Exam Program examined approximately 17 percent of SEC-registered advisers (RIAs), up from 15 percent during FY 2017 and 11 percent during FY 2016. Continued Focus on Retail Investors.

Retail 68

Retail Compliance Risk Marketing 68

CGI

AUGUST 21, 2018

Tue, 08/21/2018 - 02:42. This series of blog posts builds on the 2018 CGI Client Global Insights, providing insights into how utilities are making progress toward digital transformation. In part 1 of this blog series – Why are utilities playing catch-up in the race to digitally transform?

Energy and Utilities 40

Energy and Utilities Digital transformation IoT Customer Experience 40

Data Matters

SEPTEMBER 4, 2019

Securities and Exchange Commission on June 5, 2019, broker-dealers and associated persons are required to act in the best interest of a retail customer when recommending a securities transaction or investment strategy involving securities to a retail customer.

Insurance 68

Insurance Paper Risk Analytics 68

CGI

JANUARY 10, 2019

Fri, 01/11/2019 - 00:29. As emerging technologies and innovation come together to revolutionize retail, the physical store of the future is only limited by imagination. However, in the coming the years as retailers’ maturity grows, and technology enables more services, the use of technology will become more and more discreet.

Customer Experience 58

Customer Experience Retail Sales Digital transformation 58

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