Info Source

AUGUST 29, 2022

However, due to the Russian military invasion of Ukraine, and resulting economic sanctions, draining of foreign investments (but of course also because of other perennial problems plaguing the Russian economy), the market has been in fundamental confusion ever since, which will undoubtedly continue for some time. The stable times are over.

Marketing 52

Marketing Manufacturing Sales Military 52

Data Matters

FEBRUARY 20, 2020

Focus areas for such examinations will include sales practices, supervision of high-risk personnel and compliance with key regulatory requirements (including Rule 15c2-11 under the Securities Exchange Act of 1934, as amended (Exchange Act), the locate requirement of Regulation SHO and the obligation to file suspicious activity reports (SARs)).

Retail 68

Retail Compliance Marketing Risk 68

Data Matters

JANUARY 24, 2020

OCIE also will focus on recommendations and advice provided to retail investors, with a particular emphasis on seniors, retirees, teachers and military personnel, as well as products that the SEC considers higher risk (e.g., Information Security . Financial Technology (FinTech) and Digital Assets.

Cybersecurity 68

Cybersecurity Retail Compliance Marketing 68