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

Retail 66
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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. Focus Areas for Both Broker-Dealers and Investment Advisers.

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The Burden of Privacy In Discovery

Data Matters

To pick just two recent examples of the latter, the EU’s General Data Protection Regulation1 (GDPR) and the California Consumer Privacy Act2 (CCPA) both impose sweeping requirements on businesses with the aim of increasing consumers’ privacy and control over how their personal data is used. For example, in John B.

Privacy 94
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UK Court of Appeal Finds Automated Facial Recognition Technology Unlawful in Bridges v South Wales Police

Hunton Privacy

On August 11, 2020, the Court of Appeal of England and Wales overturned the High Court’s dismissal of a challenge to South Wales Police’s use of Automated Facial Recognition technology (“AFR”), finding that its use was unlawful and violated human rights. It is not a question of simple multiplication.

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Predictions 2021: Disinformation, SPACs, Africa, Facebook, and a Return to Tech Optimism

John Battelle's Searchblog

In some ways, this is foolhardy – like predicting that the election would drive 2020, only to see it overwhelmed by COVID-19. Google does in 2021 what I predicted it would in 2020. There will be some movement – net neutrality will probably get reaffirmed and we’ll fix Trump’s H1-B messes, for example.

Marketing 144