SEC Director Peter Driscoll described the regulatory and operational challenges of delivering financial services during the pandemic, the issuance of alerts on pandemic and emergent risks (including on cybersecurity), and the roll out of Regulation Best Interest.
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A mortgage lender entered into a settlement with the New York State Department of Financial Services after a finding that the mortgage lender failed to report a 2019 cyber breach that exposed the sensitive personal data of mortgage loan applicants.
FINRA released podcasts that highlight operational risks and market integrity issues outlined in FINRA's 2017 Regulatory and Examination Priorities Letter.
The SEC Office of Compliance Inspections and Examinations will focus on (i) retail investors, (ii) senior investors and (iii) market-wide risks.
In a 2017 Regulatory and Examination Priorities Letter, FINRA identified compliance, supervision and risk management as primary areas for review.