Data is such a rich and complex part of our modern society that several disciplines have risen around its management. Most enterprise businesses have data governance policies in place to support their business, security and compliance objectives, and these policies are evolving at a rapid rate. 

Here, we want to introduce the concept of a data governance policy and why it is important for your business. It doesn’t matter if you are a small vendor or a multi-site enterprise; having data governance policies in place is a necessary part of doing business. 

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The Financial Industry Regulatory Authority (FINRA) is an independent regulatory body monitored by the SEC to manage and protect the financial industry against breaches in regulations that could lead to corruption, fraud or theft. All told, FINRA monitors up to 4,200 brokerage firms up to 75 billion transactions each day. 

As part of that mission, FINRA develops and implements a set of compliance requirements that protect financial transactions against theft. This includes several layers of financial best practices as well as cybersecurity measures that protect communications, transactions and data every single day. 

Here, we’ll cover the basics of FINRA compliance and what it could mean for your business. 

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In a previous article, we discussed GDPR compliance for business in the European Union. Simply put, GDPR changed the way that businesses can use consumer data for marketing and business purposes while giving more control to consumers in terms of how that data is stored, deleted or transmitted. 

While GDPR is not a standard in the United States (and in many ways, GDPR contradicts U.S. laws), several states have introduced their own, more rigorous compliance standards to protect consumers. One of these is the California Consumer Privacy Act or CCPA. This law creates several standards that businesses must follow in the state of California to protect customer data. 

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