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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. Protection of Retail Investors . Retail-Targeted Investments.

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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. Protection of Retail Investors . Retail-Targeted Investments.

Retail 68
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The Good, Bad, And The Ugly: Key Takeaways From California’s New Privacy Law

Privacy and Cybersecurity Law

California law also requires businesses that suffer a breach of security to disclose the breach to consumers, and in some instances law enforcement, if sensitive information is compromised. The CCPA governs how businesses treat “consumer” “personal information.” What Is Covered?

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

Privacy and Cybersecurity Law

California law also requires businesses that suffer a breach of security to disclose the breach to consumers, and in some instances law enforcement, if sensitive information is compromised. The CCPA governs how businesses treat “consumer” “personal information.” What Is Covered?

Privacy 58