Data Matters

JANUARY 16, 2019

Securities and Exchange Commission (the SEC) released its report (the 2019 Report) setting forth its list of examination priorities for 2019 (the Exam Priorities). Continued Focus on Retail Investors. On December 20, 2018, the Office of Compliance Inspections and Examinations (OCIE) of the U.S. capital markets.

Retail 68

Retail Compliance Risk Marketing 68

IT Governance

DECEMBER 30, 2019

Welcome to the second part of our round-up of 2019’s information security stories. The second half of the year began with major data privacy news: the UK’s data protection authority, the ICO (Information Commissioner’s Office), announced its intention to fine British Airways and Marriott International a combined £282.6 million (£4.2

Data breaches 78

Data breaches Personal data GDPR Ransomware 78

Data Matters

APRIL 10, 2018

The CDD Rule applies to banks, broker-dealers in securities, mutual funds, futures commission merchants and introducing brokers in commodities (collectively, covered financial institutions or CFIs). FinCEN issued new FAQs on the CDD Rule on July 19, 2016. Accounts Opened Before May 11, 2018. Private Label Credit Cards.

Retail 68

Retail Risk IT Privacy 68