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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. RMTN), a public company quoted on the over-the-counter markets.

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Humanitarian Collaboration | ZDNet

Collaboration 2.0

Humanitarian Collaboration By Oliver Marks | August 10, 2008, 12:51pm PDT Summary I was recently fascinated by presentations by Bob Iannucci (CTO, Nokia) and Ken Banks of kiwanja.net at the Supernova2008 conference in June around mobile technologies in the developing world. Hot Topics iPhone iPad Enterprise 2.0

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Do we need "Management 2.0"? | ZDNet

Collaboration 2.0

Visionary leadership Listening Involving Aligning Transparency Risk Taking ekivemark (Edited: 06/08/2008 11:47 PM) Reply to Flag RE: Do we need Based on my 30 years of organization consulting, we built goaltrakEV, Saas strategic goals/performance management system. 06/09/2008 10:20 AM Reply to Flag Who is driving the ship?

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The view from the trenches. | ZDNet

Collaboration 2.0

By Oliver Marks | June 24, 2008, 10:38pm PDT Summary Taking a pragmatic approach on collaboration 2.0 I’ve been on both sides of the fence during my career: working within large and small software companies, in marketing [.] Hot Topics iPhone iPad Enterprise 2.0 Microsoft Office Green tech Smart phones Collaboration 2.0

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

ARMA International

Here, Part 3 discusses how to manage the various DT risks. This discussion includes methods, tools, and techniques such as using personae and identifying use cases that have high business value, while minimizing project risks. This part also discusses managing CS risks such as ransomware, privacy, change management, and user adoption.

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Microsoft Office Sharepoint Server: a next generation of deeper, wider content silos? | ZDNet

Collaboration 2.0

World: How to Understand Where You Are Really at Risk and the Most Effective Ways to Protect Your Enterprise 2.0 Clearly there is an ongoing huge market for integrating Documentum and other ECM systems with SharePoint. 10 SharePoint deployment challenges Will Sharepoint 2010 work with Sharepoint 2007?

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SEC and FINRA Issue 2020 Examination Priorities for Broker-Dealers and Investment Advisers

Data Matters

Broker-dealers may be selected for examination based on their market making or other significant trading activity in unlisted securities, as well as employing registered personnel with disciplinary history. Retail-Targeted Investments. Information Security .

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