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One-Two-Three Punch: SEC and FINRA Announce Actions Against Unregistered Broker, Digital Asset Manager and FINRA Registered Person

Data Matters

On September 11, the Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) separately announced three “first of their kind” enforcement actions against participants in the digital asset (or “token”) market: In the Matter of TokenLot LLC. In the Matter of Crypto Asset Management, LP.

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Thursday LTNY 2019 Sessions: eDiscovery Trends

eDiscovery Daily

In addition to that, CloudNine conducted a great new NineForum Discovery Education Series where prominent and highly respected eDiscovery and litigation support experts delivered 9 TED-style talks, 20 minutes each, covering important topics impacting the legal community. , sponsored by ACEDS, CloudNine and Compliance Discovery Solutions.

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Court Declines to Compel Defendant to Produce Direct Messages Between its Employees: eDiscovery Case Week

eDiscovery Daily

We got a head start on it by catching up on a case on Friday , leading up to our webcast on Wednesday where Tom O’Connor and I will be talking about key eDiscovery case law for the first half of 2018. With that in mind, let’s discuss a key case regarding custody and control by Twitter of the direct messages of its employees. In Shenwick v.

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SEC and FINRA Issue 2020 Examination Priorities (Including Cybersecurity) for Broker-Dealers and Investment Advisers

Data Matters

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. Information Security .

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SEC and FINRA Issue 2020 Examination Priorities for Broker-Dealers and Investment Advisers

Data Matters

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. Information Security . Retail-Targeted Investments.

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The debate on the Data Protection Bill in the House of Lords

Data Protector

What follows below is an edited version of the debate in the House of Lords of the Second Reading of the Data Protection Bill, held on 10 October. Where the Information Commissioner gives notices to data controllers, she can now secure compliance, with the power to issue substantial administrative penalties of up to 4% of global turnover.

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Part 3: OMG! Not another digital transformation article! Is it about effecting risk management and change management?

ARMA International

“Commissioned by organizers to predict worst-case scenarios for the Munich games, [Georg] Sieber came up with a range of possibilities, from explosions to plane crashes, for which security teams should be prepared. Mobile devices allow users to access content from anywhere, which presents security and privacy risks. 2020, p 1). “As