Data Matters

JANUARY 24, 2020

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. Protection of Retail Investors . Retail-Targeted Investments.

Cybersecurity 68

Cybersecurity Retail Compliance Marketing 68

Data Matters

FEBRUARY 20, 2020

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. Protection of Retail Investors . Retail-Targeted Investments.

Retail 68

Retail Compliance Marketing Risk 68

Data Protection Report

AUGUST 27, 2020

On 11 August 2020, the Court of Appeal ( CA ) handed down its judgement in the case of R (on the application of Edward BRIDGES) v The Chief Constable of South Wales Police. Those using AFT in the private sector should therefore consider creating internal rules governing the use of AFT.

Risk 59

Risk Retail IT GDPR 59