Data Matters

JANUARY 24, 2020

OCIE will continue to examine municipal advisors (including broker-dealers and RIAs dually registered as municipal advisors) for compliance with registration, professional qualification and continuing education requirements. Cybersecurity. Additional Focus Areas Specific to Broker-Dealers. OCIE Examination Trends. Market Integrity.

Cybersecurity 68

Cybersecurity Retail Compliance Marketing 68

Data Matters

FEBRUARY 20, 2020

OCIE will continue to examine municipal advisors (including broker-dealers and RIAs dually registered as municipal advisors) for compliance with registration, professional qualification and continuing education requirements. Cybersecurity. Additional Focus Areas Specific to Broker-Dealers. OCIE Examination Trends. Market Integrity.

Retail 68

Retail Compliance Marketing Risk 68

Data Protector

OCTOBER 11, 2017

What follows below is an edited version of the debate in the House of Lords of the Second Reading of the Data Protection Bill, held on 10 October. Withdrawal from the EU means that we stand to lose the institutional platform from which we have exercised that influence. It seems odd to have more clarity post Brexit than pre-Brexit.

GDPR 120

GDPR Personal data Government IT 120