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. Financial Technology (FinTech) and Digital Assets.

Cybersecurity 68

Cybersecurity Retail Compliance Marketing 68

ForAllSecure

JANUARY 15, 2021

When I was working for a retail company I thought it was fantastic. Everybody is connecting to somewhere for work, communications, whatever you want to call it remotely now. And in many cases, employers would expect you to go to work even if you were sick certainly in, even in places like retail. Well that's all changed.

IT 52

IT Manufacturing Government Paper 52

ForAllSecure

JANUARY 15, 2021

When I was working for a retail company I thought it was fantastic. Everybody is connecting to somewhere for work, communications, whatever you want to call it remotely now. And in many cases, employers would expect you to go to work even if you were sick certainly in, even in places like retail. Well that's all changed.

IT 52

IT Manufacturing Government Paper 52

KnowBe4

MARCH 7, 2023

This is an excellent article that exposes the vulnerabilities when communications systems are not secure by design. They started out with: "As Putin began his invasion of Ukraine, a network used throughout Europe—and by the Ukrainian military—faced an unprecedented cyberattack that doubled as an industrywide wake-up call. government.

Phishing 75

Phishing Ransomware Cybersecurity Security awareness 75