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

Data Matters

Protection of Retail Investors . For both broker-dealers and investment advisers, OCIE will continue to emphasize the protection of retail investors, particularly seniors and those saving for retirement. Retail-Targeted Investments. 1 In general, the 2020 Examination Priorities continue recurring themes from recent prior years.

Retail 68
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SEC and FINRA Issue 2020 Examination Priorities (Including Cybersecurity) for Broker-Dealers and Investment Advisers

Data Matters

Protection of Retail Investors . For both broker-dealers and investment advisers, OCIE will continue to emphasize the protection of retail investors, particularly seniors and those saving for retirement. Retail-Targeted Investments.

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Types of Malware & Best Malware Protection Practices

eSecurity Planet

In 2017, more than 300,000 WordPress websites were affected by a malicious plugin that allowed an attacker to place embedded hidden links on victim websites. In 2008, the Kraken botnet with 495,000 bots infected 10% of the Fortune 500 companies. User education is one of the most powerful tools for preventing malicious mobile apps.

Phishing 104
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The Good, Bad, And The Ugly: Key Takeaways From California’s New Privacy Law

Privacy and Cybersecurity Law

In the aftermath of the Cambridge Analytica scandal, and in the footsteps of Europe’s General Data Protection Regulation (“GDPR”), California privacy advocates introduced a ballot initiative on October 12, 2017 called “The Consumer Right to Privacy Act of 2018” (No. The ballot initiative largely mirrored what is now the language in the CCPA.

Privacy 58
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The Good, Bad, And The Ugly: Key Takeaways From California’s New Privacy Law

Privacy and Cybersecurity Law

In the aftermath of the Cambridge Analytica scandal, and in the footsteps of Europe’s General Data Protection Regulation (“GDPR”), California privacy advocates introduced a ballot initiative on October 12, 2017 called “The Consumer Right to Privacy Act of 2018” (No. The ballot initiative largely mirrored what is now the language in the CCPA.

Privacy 58