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Weekly podcast: 2018 end-of-year roundup

IT Governance

This week, in our last podcast of the year, we revisit some of the biggest information security stories from the past 12 months. As is now traditional, I’ve installed myself in the porter’s chair next to the fire in the library, ready to recap some of the year’s more newsworthy information security events. caused problems of their own.

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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.

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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. Retail-Targeted Investments.

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