Remove 10
Remove 2020 Remove Examples Remove Exercises Remove Government Remove Trends
article thumbnail

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

Data Matters

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. Focus Areas for Both Broker-Dealers and Investment Advisers.

Retail 68
article thumbnail

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

Data Matters

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. Focus Areas for Both Broker-Dealers and Investment Advisers.

Insiders

Sign Up for our Newsletter

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

article thumbnail

Nation-State-Sponsored Attacks: Not Your Grandfather’s Cyber Attacks

Data Matters

Attorney General described a recent takedown of a Russian government-sponsored botnet called Cyclops Blink before it was weaponized and caused damage. and foreign government agencies. government reported a significant rise in hacks perpetrated against private companies by nation-state-sponsored threat actors. Agency (Feb.

article thumbnail

Predictions 2021: Disinformation, SPACs, Africa, Facebook, and a Return to Tech Optimism

John Battelle's Searchblog

In some ways, this is foolhardy – like predicting that the election would drive 2020, only to see it overwhelmed by COVID-19. Google does in 2021 what I predicted it would in 2020. There will be some movement – net neutrality will probably get reaffirmed and we’ll fix Trump’s H1-B messes, for example.

Marketing 144
article thumbnail

The Accountable Capitalism Act: It’ll Never Happen, But At Least Now the Conversation Will

John Battelle's Searchblog

While it might be convenient to peg the trend to Senator Elizabeth Warren’s newly minted Accountable Capitalism Act (more on that in a second), I think it’s more likely that – finally – our collective will is turning to our most logical and obvious instrument of social change, namely, the instrument of business.

article thumbnail

The Burden of Privacy In Discovery

Data Matters

To pick just two recent examples of the latter, the EU’s General Data Protection Regulation1 (GDPR) and the California Consumer Privacy Act2 (CCPA) both impose sweeping requirements on businesses with the aim of increasing consumers’ privacy and control over how their personal data is used. For example, in John B.

Privacy 97
article thumbnail

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

Privacy and Cybersecurity Law

The CCPA goes into effect January 1, 2020. Below is a history of the CCPA, a summary of its key elements as adopted, including recently adopted technical amendments, and practical takeaways for covered entities as the law moves from passage to 2020 enforcement. The CCPA governs how businesses treat “consumer” “personal information.”

Privacy 58