Remove 11
Remove 2019 Remove Education Remove Examples Remove Exercises Remove Training
article thumbnail

The debate on the Data Protection Bill in the House of Lords

Data Protector

For example, although there are clear benefits to medical research from giving researchers access to anonymised medical data, it remains a matter of concern to the public, the media and the profession itself. Decisions also follow a lengthy procedure, so the chances of having an adequacy decision in place by March 2019 are small.

GDPR 120
article thumbnail

SEC and FINRA Issue 2020 Examination Priorities for Broker-Dealers and Investment Advisers

Data Matters

Focus areas for such examinations will include sales practices, supervision of high-risk personnel and compliance with key regulatory requirements (including Rule 15c2-11 under the Securities Exchange Act of 1934, as amended (Exchange Act), the locate requirement of Regulation SHO and the obligation to file suspicious activity reports (SARs)).

Retail 68
article thumbnail

SEC and FINRA Issue 2020 Examination Priorities (Including Cybersecurity) for Broker-Dealers and Investment Advisers

Data Matters

Focus areas for such examinations will include sales practices, supervision of high-risk personnel and compliance with key regulatory requirements (including Rule 15c2-11 under the Securities Exchange Act of 1934, as amended (Exchange Act), the locate requirement of Regulation SHO and the obligation to file suspicious activity reports (SARs)).