W. Hardy Callcott, Author at Data Matters Privacy Blog

About W. Hardy Callcott

San Francisco

Entries by W. Hardy Callcott

29 01 '19

FINRA Issues Its 2019 Risk Monitoring and Examination Priorities Letter

January 29, 2019/in Cybersecurity, Enforcement, Financial Privacy, Information Security/by W. Hardy Callcott

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. Unlike in previous […]

13 01 '16

Financial Industry Regulatory Authority 2016 Exam Priorities

January 13, 2016/in Enforcement, Financial Privacy/by W. Hardy Callcott

On January 5, the Financial Industry Regulatory Authority (FINRA) released its annual Regulatory and Examination Priorities Letter (Letter) to highlight risks that FINRA believes could adversely affect investors and market […]