Data Matters

FEBRUARY 20, 2020

Broker-dealers may be selected for examination based on their market making or other significant trading activity in unlisted securities, as well as employing registered personnel with disciplinary history. OCIE has increased its examination coverage of RIAs over the past several years from 10% in FY 2014 to a high of 17% in FY 2018.

Retail 68

Retail Compliance Marketing Risk 68

Data Matters

JANUARY 24, 2020

OCIE will continue to focus on investment products marketed and sold to retail investors, including mutual and exchange-traded funds, municipal and other fixed income securities and microcap securities. The digital asset market, which includes cryptocurrencies, coins and tokens, has grown rapidly and continues to be an area of focus for OCIE.

Cybersecurity 68

Cybersecurity Retail Compliance Marketing 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. Data is not just a resource for better marketing, better service and delivery. New technologies have started innumerable economic revolutions, and the pace of change continues to accelerate.

GDPR 120

GDPR Personal data Government IT 120