Data Matters

JANUARY 16, 2019

In fiscal year (FY) 2018, the OCIE National Exam Program examined approximately 17 percent of SEC-registered advisers (RIAs), up from 15 percent during FY 2017 and 11 percent during FY 2016. Continued Focus on Retail Investors. The number of investment advisers examined by OCIE has increased significantly in recent years.

Retail 68

Retail Compliance Risk Marketing 68

IT Governance

AUGUST 21, 2018

Only time will tell – and we may not have to wait long – but in the meantime, what is the impact of data breaches in the retail industry, and what needs to be done to mitigate them? The data included contact information, usernames and encrypted passwords. increase on the 2017 cost of $3.62 million users was compromised.

Retail 66

Retail Data breaches GDPR Compliance 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. 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