Data Matters

APRIL 6, 2022

Securities and Exchange Commission (SEC) Division of Enforcement (EXAMS or Division) issued its annual examination priorities. Private Fund, ESG Investing, Retail Investors, Cybersecurity, Fintech, and Digital Assets. Both categories will be examined for compliance with the SEC Standards for Covered Clearing Agencies.

Retail 88

Retail Compliance Sales Risk 88

Data Matters

JANUARY 8, 2020

Another was directed to commodity pool operators (CPOs), commodity trading advisors (CTAs), introducing brokers (IBs) and retail foreign exchange dealers (RFEDs). Registrants in these categories whose cloud service providers were not affected by the attack do not need to respond to DSIO pursuant to the cyber threat alerts.

Cloud 60

Cloud Communications Retail Privacy 60

IBM Big Data Hub

FEBRUARY 23, 2024

Think: an online retailer that stores customers’ email addresses to send order updates. Identify and protect special category data When inventorying data, organizations should make a note of any especially sensitive data that requires extra protection.

GDPR 76

GDPR Compliance Personal data Privacy 76

ARMA International

NOVEMBER 7, 2019

The major categories of financial institutions include central banks, retail and commercial banks, investment banks, investment companies, brokerage firms, internet banks, credit unions, and savings and loans associations. financial institutions. Risk Management and RIM. to enable the most control over the data.

Financial Services 52

Financial Services Communications Compliance Risk 52