Corin R. Swift, Author at Data Matters Privacy Blog

About Corin R. Swift

New York

Entries by Corin R. Swift

31 01 '23

FINRA Issues 2023 Report on Its Examination and Risk Monitoring Program

January 31, 2023/in Cybersecurity, Enforcement, Policy, SEC/by Corin R. Swift

On January 10, 2023, the Financial Industry Regulatory Authority (FINRA) published its 2023 Report on its Examination and Risk Monitoring Program (the Report).1 The 75-page Report includes four new topic areas […]

12 01 '22

SEC Encourages Self-Reporting of Recordkeeping Violations Resulting From Employees’ Use of Personal Devices for Business Communications

January 12, 2022/in Employee Privacy, Enforcement, FINRA, SEC/by Corin R. Swift

On December 17, 2021, the U.S. Securities and Exchange Commission (SEC) announced settled charges against a broker-dealer firm for recordkeeping violations arising from its employees’ use of personal devices for […]