IT Governance

OCTOBER 3, 2019

You must tell people when you’re collecting their personal information to give them the opportunity to exercise their data subject rights. This will typically cover public authorities such as government departments, schools and other educational institutions, hospitals and the police. Make sure people know they’re being recorded.

GDPR 110

GDPR Privacy Retail Personal data 110

The Last Watchdog

MARCH 21, 2022

Once you know where the data is, how it got there, and its worth (and risk) to your organization, take the time to create a catalog so that your investment in these exercises can immediately generate value for those who need the data to do their job. Educate employees. •Create a data catalog. Conduct risk analysis.

Encryption 214

Encryption Cloud Privacy GDPR 214

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. Additional Focus Areas Specific to Broker-Dealers.

Cybersecurity 68

Cybersecurity Retail Compliance Marketing 68