Remove 11
Remove 2019 Remove Education Remove Marketing Remove Sales
article thumbnail

SEC Announces 2022 Examination Priorities: Private Funds, ESG, Retail, Cyber, Digital Assets Top the List

Data Matters

In FY 2021, the Division completed 3,040 examinations, which represent a 3% increase from the prior year, and is on par with prepandemic fiscal year 2019. The Division will prioritize certain types of registered funds including exchange-traded funds, money market funds, and business development companies.

Retail 88
article thumbnail

California Consumer Privacy Act and AdTech: a CLE webinar

DLA Piper Privacy Matters

In this webinar, DLA Piper’s Data Protection Privacy and Security Group will examine CCPA’s impact on programmatic and other digital advertising activities, including behavioral advertising, direct ad sales, analytics, and more. The goal of this webinar is to examine how companies can manage CCPA compliance while optimizing marketing ROI.

Privacy 40
Insiders

Sign Up for our Newsletter

This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.

article thumbnail

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

Data Matters

In particular, firms can expect OCIE examinations to focus on the following core areas with respect to retail investors (which may include retail customers, clients and fund investors): Fraud, Sales Practices and Conflicts of Interest. Retail-Targeted Investments. 3 Interpretation Regarding Standard of Conduct for Investment Advisers.

Retail 68
article thumbnail

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

Data Matters

In particular, firms can expect OCIE examinations to focus on the following core areas with respect to retail investors (which may include retail customers, clients and fund investors): Fraud, Sales Practices and Conflicts of Interest. Retail-Targeted Investments. Interpretation Regarding Standard of Conduct for Investment Advisers.

article thumbnail

Group-IB Hi-Tech Crime Trends 2020/2021 report

Security Affairs

In the report, the company examines key shifts in the cybercrime world internationally between H2 2019 and H1 2020 and gives forecasts for the coming year. It was also marked by the rise of the underground market for selling access to corporate networks and an over two-fold growth of the carding market.