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

Retail 66

Retail Compliance Marketing Risk 66

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

Cybersecurity 66

Cybersecurity Retail Compliance Marketing 66

KnowBe4

JULY 5, 2023

CyberheistNews Vol 13 #27 | July 5th, 2023 [Heads Up] Massive Impersonation Phishing Campaign Imitates Over 100 Brands and Thousands of Domains A year-long phishing campaign has been uncovered that impersonates 100+ popular clothing, footwear, and apparel brands using at least 10 fake domains impersonating each brand.

Phishing 78

Phishing Security awareness Passwords Computer and Electronics 78