Data Matters

APRIL 6, 2022

1 Consistent with its recent rulemaking activity, in its accompanying release, the SEC highlighted private funds; Environmental, Social and Governance (ESG) investing; retail; cyber; and digital assets as key examination priorities. Both categories will be examined for compliance with the SEC Standards for Covered Clearing Agencies.

Retail 88

Retail Compliance Sales Risk 88

ARMA International

SEPTEMBER 22, 2021

Some technology trends such as real-time data analytics are on-going, while others are more recent, such as blockchain. This part will also discuss managing CS risks such as ransomware, privacy, change management, and user adoption. Information Governance (IG). Introduction.

Digital transformation 52

Digital transformation Content services IT e-Discovery 52

ARMA International

NOVEMBER 7, 2019

Over the years, the regulations reflected the conflicting forces of centralized government control to maintain stability in the financial system vs. the fear of too much control being concentrated in too few hands, which resulted in deregulation. financial system continues to evolve in response to changing regulations.

Financial Services 52

Financial Services Communications Compliance Risk 52