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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.

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WHAT IS GOING ON IN THE RUSSIAN MARKET?

Info Source

WHAT IS GOING ON IN THE RUSSIAN MARKET? Among the permanent factors affecting the Russian market are, for example, the unemployment rate, low real wages, and extreme social inequalities, which remain high both in large cities and rural areas. Therefore, what is going on in the vast Russian market at present?

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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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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. Old management techniques dont apply in the new nGen business market.

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

Collaboration 2.0

By Oliver Marks | June 22, 2008, 11:07pm PDT Summary The ’shoot out’ between Microsoft Sharepoint and Lotus Connections, two juggernauts in the enterprise space, played to a packed audience at the Enterprise 2.0 World: How to Understand Where You Are Really at Risk and the Most Effective Ways to Protect Your Enterprise 2.0

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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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SEC and FINRA Issue 2020 Examination Priorities (Including Cybersecurity) for Broker-Dealers and Investment Advisers

Data Matters

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., Retail-Targeted Investments. Information Security .