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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.

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.

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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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UK ICO Launches 2012/13 Annual Report

Hunton Privacy

He outlined the seven key “e”s of the ICO’s role: enforce, educate, empower, enable, engage, and to be effective and efficient. Awareness of individual rights under the Data Protection Act 1998 (“DPA”) are slightly higher, at 87%. Enforcement. The ICO also: issued 23 penalties, totaling over £2.6 Effective and Efficient.

FOIA 40
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Part 3: OMG! Not another digital transformation article! Is it about effecting risk management and change management?

ARMA International

Some technology trends such as real-time data analytics are ongoing, while others are more recent, such as blockchain. Srivastav 2014, p 18). Latson 2014) Unfortunately, the events unfolded almost exactly like the scenario in Situation Number 21. Risk Management and DT Experience. Uncertainty and risk are not the same.

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Preparing for Litigation Before it Happens: eDiscovery Best Practices, Part Four

eDiscovery Daily

A 2014 Rand study found that 44% of companies didn’t have any formal data governance policy and 22% of firms without a data policy had no plans to implement one. So, while organizations continue to show awareness of the importance of data governance within their company, nearly half are not acting on that awareness.

IT 31
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An Approach to Cybersecurity Risk Oversight for Corporate Directors

Data Matters

A high-profile cyber incident may cause substantial financial and reputational losses to an organization, including the disruption of corporate business processes, destruction or theft of critical data assets, loss of goodwill, and shareholder and consumer litigation. Encrypting critical data assets. Using appropriate access controls.