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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. Focus Areas for Both Broker-Dealers and Investment Advisers.

Retail 68
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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. Focus Areas for Both Broker-Dealers and Investment Advisers.

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CIA Hacking unit APT-C-39 hit China since 2008

Security Affairs

Chinese security firm Qihoo 360 revealed that the US CIA has hacked Chinese organizations in various sectors for the last 11 years. Chinese security firm Qihoo 360 is accusing that the US Central Intelligence Agency (CIA) of having hacked Chinese organizations for the last 11 years.

Military 141
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Records Inventory 101:

ARMA International

Among these management issues are insufficient documentation of official acts, incorrect use of recordkeeping technologies, poor filing systems and maintenance standards, poor management of non-record items, insufficient identification of vital records, and insufficient records security policies. Is the DOD 9/30/2010 or 10/01/2010?

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The Hacker Mind Podcast: Hacking Voting Systems

ForAllSecure

While digital voting systems are more secure today, what about the larger ecosystem, starting from the moment you register until your vote is counted? Who’s keeping those systems secure? In 2010, she was interviewed by O'Reilly Media. One of the premiere security researchers that Bowen invited to California was J.

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The Hacker Mind Podcast: Hacking Voting Systems

ForAllSecure

While digital voting systems are more secure today, what about the larger ecosystem, starting from the moment you register until your vote is counted? Who’s keeping those systems secure? In 2010, she was interviewed by O'Reilly Media. One of the premiere security researchers that Bowen invited to California was J.

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The Burden of Privacy In Discovery

Data Matters

4 The Federal Rules of Civil Procedure have begun — since their inception — with a guiding command for courts to seek “to secure the just, speedy, and inexpensive determination of every action and proceeding.”5 19 No longer are the proportionality considerations described as separate “limitations” on an inquiry governed solely by relevance.20

Privacy 97