Data Matters

APRIL 6, 2022

Securities and Exchange Commission (SEC) Division of Enforcement (EXAMS or Division) issued its annual examination priorities. Private Fund, ESG Investing, Retail Investors, Cybersecurity, Fintech, and Digital Assets. Both categories will be examined for compliance with the SEC Standards for Covered Clearing Agencies.

Retail 88

Retail Compliance Sales Risk 88

Security Affairs

JULY 21, 2021

The platform lists coupons in multiple categories including health, travel, food, services, events. July 19, 2021 – The actor having the alias “ bl4ckt0r ” has published TicketClub Italy database with over 340,957 users for sale and released several meaningful data dumps which may confirm the breach.

Data breaches 103

Data breaches Sales Retail Phishing 103

ARMA International

NOVEMBER 7, 2019

The scope of a records and information management (RIM) program in financial services can seem overwhelming. Compared to other industries, the complexities of managing records and information in financial services are arguably some of the toughest to solve, primarily because of the intense regulatory scrutiny.

Financial Services 52

Financial Services Communications Compliance Risk 52