Data Matters

APRIL 6, 2022

Securities and Exchange Commission (SEC) Division of Enforcement (EXAMS or Division) issued its annual examination priorities. In FY 2021, the Division completed 3,040 examinations, which represent a 3% increase from the prior year, and is on par with prepandemic fiscal year 2019. On March 30, 2022, the U.S.

Retail 88

Retail Compliance Sales Risk 88

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. The claim concerned the lawfulness of AFT that had been deployed by SWP on around 50 occasions between May 2017 and May 2019.

Risk 59

Risk Retail IT GDPR 59