Data Matters

APRIL 6, 2022

1 Consistent with its recent rulemaking activity, in its accompanying release, the SEC highlighted private funds; Environmental, Social and Governance (ESG) investing; retail; cyber; and digital assets as key examination priorities. Private Fund, ESG Investing, Retail Investors, Cybersecurity, Fintech, and Digital Assets.

Retail 88

Retail Compliance Sales Risk 88

IT Governance

JANUARY 30, 2024

Mobile network database breach exposes 750 million Indians’ personal data The Indian security company CloudSEK claims to have found the personal data of 750 million Indians for sale on an “underground forum”. Compromised data includes victims’ names, addresses, phone numbers and Aadhaar numbers (a 12-digit government identification number).

Data Privacy 52

Data Privacy Retail Privacy Manufacturing 52

Security Affairs

NOVEMBER 25, 2020

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. Late 2019 and all of 2020 were marked by an unprecedented surge in ransomware attacks. In late 2019, ransomware operators adopted a new technique.

Ransomware 127

Ransomware Phishing Sales Manufacturing 127

Data Matters

FEBRUARY 20, 2020

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

Retail Compliance Marketing Risk 68

Data Matters

JANUARY 24, 2020

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.

Cybersecurity 68

Cybersecurity Retail Compliance Marketing 68