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SEC Announces 2022 Examination Priorities: Private Funds, ESG, Retail, Cyber, Digital Assets Top the List

Data Matters

1 Consistent with its recent rulemaking activity, in its accompanying release, the SEC highlighted private funds; Environmental, Social and Governance (ESG) investing; retail; cyber; and digital assets as key examination priorities. Importance of Compliance Programs.

Retail 87
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SEC Announces Examination Priorities for 2019

Data Matters

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

Retail 67
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Sale of 4 Million Stolen Cards Tied to Breaches at 4 Restaurant Chains

Krebs on Security

The other three restaurants are all part of the same parent company and disclosed breaches in August 2019. Focus Brands (which owns Moe’s, McAlister’s, and Schlotzsky’s) was breached between April and July 2019, and publicly disclosed this on August 23. Krystal announced a card breach last month. percent worldwide.

Sales 316
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FINRA Issues Its 2019 Risk Monitoring and Examination Priorities Letter

Data Matters

On January 17, the Financial Industry Regulatory Authority (FINRA) released its annual Risk Monitoring and Examination Priorities Letter (Letter), which identifies topics that FINRA will focus on in 2019. As always, firms should use the Letter to review their compliance and supervisory procedures carefully and make any necessary revisions.

Risk 60
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‘People are strange, when you’re a stranger’: A retail bank view into artificial intelligence

CGI

‘People are strange, when you’re a stranger’: A retail bank view into artificial intelligence. Wed, 09/04/2019 - 00:02. Are there customer service, and even compliance efficiencies, to gain through AI? The good news is that we are getting ever closer to this expectation becoming a reality. A checking account?), The next steps.

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CGI Client Global Insights: A look at top corporate transaction banking trends and priorities

CGI

Among all banking sectors, we see the lowest levels of digital maturity and results within the corporate and transaction banking sector, according to the 2019 CGI Client Global Insights findings. Compliance, security, and “real time” are dominant trends.

Retail 81
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Regulatory Update: NAIC Summer 2019 National Meeting

Data Matters

The National Association of Insurance Commissioners (NAIC) held its Summer 2019 National Meeting (Summer Meeting) in New York City from August 3 to 6, 2019. The amended regulation took effect on August 1, 2019, for annuity products and will become effective on February 1, 2020, for life insurance products.