Data Matters

JANUARY 16, 2019

On December 20, 2018, the Office of Compliance Inspections and Examinations (OCIE) of the U.S. In fiscal year (FY) 2018, the OCIE National Exam Program examined approximately 17 percent of SEC-registered advisers (RIAs), up from 15 percent during FY 2017 and 11 percent during FY 2016. Continued Focus on Retail Investors.

Retail 68

Retail Compliance Risk Marketing 68

Data Matters

APRIL 10, 2018

On April 3, 2018, the Financial Crimes Enforcement Network (FinCEN) issued new frequently asked questions (FAQs) regarding its customer due diligence rule (CDD Rule). These FAQs are timely because the May 11, 2018 compliance date for the CDD rule is fast approaching. Accounts Opened Before May 11, 2018.

Retail 68

Retail Risk IT Privacy 68

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 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

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 High Court was wrong to hold that SWP’s Data Protection Impact Assessment ( DPIA ) complied with the requirements of section 64 of the Data Protection Act 2018.

Risk 59

Risk Retail IT GDPR 59