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UK ICO Fine Reinforces Public Sector Compliance Concerns

Hunton Privacy

On October 11, 2012, the ICO published three reports summarizing the audits it had conducted from February 2010 to July 2012 in the public sector, specifically central government, local authorities and National Health Service (“NHS”) organizations. The ICO encourages the use of audits as an educational and best practice-sharing tool.

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AIIM vs. ARMA: An Honest Comparison of Membership

AIIM

As a paid professional member of both since 2001 – August 2001 for AIIM, September 2001 for ARMA, and having served on both organizations’ Board of Directors (2004-2005 for AIIM, 2007-2010 for ARMA), I have thoughts on both and will compare them in several key areas, including: Focus. Automating Governance and Compliance.

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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. Data is not just a resource for better marketing, better service and delivery. Data is used to build products themselves. It has become a cliché that data is the new oil.

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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.

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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.

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Another Commentary from The Sedona Conference: eDiscovery Best Practices

eDiscovery Daily

Much has changed in the law and technology since The Sedona Conference published the First Edition of this Commentary back in September 2010 (hey, that’s when this blog was founded!). Guideline 10: Compliance with a legal hold should be regularly monitored. advances in electronic document management technology. So, what do you think?

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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. Conclusion.