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 66

Retail Compliance Risk Marketing 66

IT Governance

NOVEMBER 23, 2023

Although the total number of data breaches – or rather, in those reported – decreased by 24% between 2019 and 2022 in the finance sector, the number of incidents increased by 99%. So to account for seasonality, we’ve only looked at Q2–Q4 for all four years (2019–2022). million (about £4.70

Risk 85

Risk Data breaches Authentication Financial Services 85

Data Matters

JUNE 3, 2019

The SEC’s Office of Compliance Inspections and Examinations (OCIE) released two Risk Alerts, on April 16, 2019 and May 23, 2019, highlighting the importance of privacy and cybersecurity compliance for SEC-registered investment advisors and broker-dealers under Regulation S-P. Insufficient data classification policies and procedures.

Risk 66

Risk Privacy Cybersecurity 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 66

Cybersecurity Retail Compliance Marketing 66

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 66

Retail Compliance Marketing Risk 66

IT Governance

JUNE 1, 2023

Meanwhile, you can subscribe to our Weekly Round-up to receive the latest cyber security news and advice delivered straight to your inbox. IT Governance is dedicated to helping organisations tackle the threat of cyber crime and other information security weaknesses. With that out of the way, it’s time to move on to May 2023.

Data breaches 116

Data breaches Insurance Personal data Ransomware 116

Thales Cloud Protection & Licensing

JULY 11, 2019

On May 22, 2019, the European Commission published an infographic on compliance with and enforcement of the GDPR from May 2018 to May 2019 and it is clear that a lot of work still needs to be done. Information security policy management. What is the General Data Protection Regulation? Data Loss Prevention (DLP).

GDPR 97

GDPR Compliance Risk Personal data 97