Data Matters

APRIL 6, 2022

Securities and Exchange Commission (SEC) Division of Enforcement (EXAMS or Division) issued its annual examination priorities. Private Fund, ESG Investing, Retail Investors, Cybersecurity, Fintech, and Digital Assets. Transfer Agents.

Retail 88

Retail Compliance Sales Risk 88

IT Governance

OCTOBER 3, 2019

You must tell people when you’re collecting their personal information to give them the opportunity to exercise their data subject rights. These rights enable individuals to access the personal data organisations store on them and to challenge the way their information is used. Make sure people know they’re being recorded.

GDPR 109

GDPR Privacy Retail Personal data 109

The Last Watchdog

MARCH 21, 2022

Once you know where the data is, how it got there, and its worth (and risk) to your organization, take the time to create a catalog so that your investment in these exercises can immediately generate value for those who need the data to do their job. You almost certainly need a chief information security officer (CISO).

Encryption 214

Encryption Cloud Privacy GDPR 214

IT Governance

DECEMBER 20, 2022

Google , Clearview AI , and Meta all receives hefty penalties in 2022, demonstrating the continued important of effective information security. But these were far from the only notable cyber security headlines of the year. Source: Security Affairs.

Security 132

Security Data breaches Ransomware Military 132

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 . Retail-Targeted Investments.

Cybersecurity 68

Cybersecurity Retail Compliance Marketing 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-Targeted Investments.

Retail 68

Retail Compliance Marketing Risk 68