Data Matters

FEBRUARY 20, 2020

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. Protection of Retail Investors .

Retail 68

Retail Compliance Marketing Risk 68

Data Matters

JANUARY 24, 2020

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. Protection of Retail Investors .

Cybersecurity 68

Cybersecurity Retail Compliance Marketing 68

eSecurity Planet

SEPTEMBER 10, 2021

Leading IaaS and platform as a service (PaaS) vendors like Amazon Web Services (AWS) and Microsoft Azure provide documentation to their customers so all parties understand where specific responsibilities lie according to different types of deployment. What compliance requirements does the provider support?

Cloud 131

Cloud Security Encryption Risk 131

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. Under Regulation Best Interest (Regulation BI), as adopted by the U.S.

Insurance 68

Insurance Paper Risk Analytics 68

Data Protection Report

AUGUST 27, 2020

On 11 August 2020, the Court of Appeal ( CA ) handed down its judgement in the case of R (on the application of Edward BRIDGES) v The Chief Constable of South Wales Police. The final ground of the appeal related to SWP’s compliance with the PSED. be precise in the responses in the DPIA.

Risk 59

Risk Retail IT GDPR 59