Data Matters

FEBRUARY 20, 2020

Protection of Retail Investors . For both broker-dealers and investment advisers, OCIE will continue to emphasize the protection of retail investors, particularly seniors and those saving for retirement. Retail-Targeted Investments. 1 In general, the 2020 Examination Priorities continue recurring themes from recent prior years.

Retail 67

Retail Compliance Marketing Risk 67

Data Matters

JANUARY 24, 2020

Protection of Retail Investors . For both broker-dealers and investment advisers, OCIE will continue to emphasize the protection of retail investors, particularly seniors and those saving for retirement. Retail-Targeted Investments. Additional Focus Areas Specific to Broker-Dealers.

Cybersecurity 67

Cybersecurity Retail Compliance Marketing 67

Hunton Privacy

DECEMBER 1, 2010

On December 1, 2010, the Federal Trade Commission released its long-awaited report on online privacy entitled “ Protecting Consumer Privacy in an Era of Rapid Change: A Proposed Framework for Businesses and Policymakers.” The FTC report is expected to be followed by a separate privacy report from the Department of Commerce.

Privacy 40

Privacy Retail Data Privacy Education 40

Hunton Privacy

MAY 26, 2010

In April 2010, Affinity Health Plan notified over 400,000 current and former customers that their personal information had been stored on the hard drives of a leased office copier that Affinity later returned to the leasing company.

Privacy 40

Privacy Risk Manufacturing Retail 40