11 2019 Compliance Education Examples Exercises 
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.
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.
Data Protector
OCTOBER 11, 2017
Where the Information Commissioner gives notices to data controllers, she can now secure compliance, with the power to issue substantial administrative penalties of up to 4% of global turnover. Decisions also follow a lengthy procedure, so the chances of having an adequacy decision in place by March 2019 are small.
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