Data Matters

SEPTEMBER 18, 2018

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. In the Matter of Crypto Asset Management, LP.

Marketing 68

Marketing Blockchain Sales Security 68

Data Matters

JANUARY 24, 2020

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.

Cybersecurity 68

Cybersecurity Retail Compliance Marketing 68

Data Matters

FEBRUARY 20, 2020

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-Targeted Investments.

Retail 68

Retail Compliance Marketing Risk 68

ARMA International

SEPTEMBER 27, 2021

In fact, “the Independent Panel for Pandemic Preparedness and Response, pointedly noted that since the H1N1 pandemic in 2009, there have been 11 high-level commissions and panels that produced more than 16 reports, with the vast majority of recommendations never implemented” (Fink 2021). Figure 4: The 5 R’s to increase CX engagement.

Digital transformation 54

Digital transformation Risk IT Computer and Electronics 54