Regulatory Roundup: 10 Recent FINRA and SEC Violations and Penalties
Over the past year, the SEC and FINRA have been hard at work enforcing communications supervision compliance regulations throughout the ...
Tag: data governance
Risk Managers: You’re Probably Spending Too Much Time Monitoring Email
Remember when email was the only way we shared information? Modern communication methods have evolved -- and risk has grown ...
Complying with California’s New Privacy Law
A majority of organizations are still struggling to comply with GDPR, and – just as bad – only 14 percent ...
In an Age of Increasing M&A Activity, Data Maintenance is Key to Ensuring Compliance
With M&A activity on the rise, a commitment to a strong data management program can help businesses to avoid expensive ...
Uncovering the Data and Compliance Issues Banks Face Today
Advancements in technology have transformed the horizon of financial services, but these innovations are also raising challenges of their own ...
What the Avengers Can Teach Us About Data Governance Strategy
With Avengers Endgame, we’ve likely seen our heroes together for the last time in their current form, but the franchise ...
Spreadsheets Aren’t Infrastructure: Saving Data Compliance with Automation
In the advent of automated GRC tools, data-compliance professionals are shooting themselves in the feet by over-relying on old-fashioned spreadsheets. ...
How MDM Technology is Helping Organizations Keep Up with a Rapidly Changing Legal Landscape
Peter Bierfeldt, data management innovator and Reltio’s Chief Information Security Officer, talks with CCI about critical risks facing companies today.
CFIUS Flexes New Muscles Where Customer Data and Critical Technology Are Involved
Foreign ownership of the dating app Grindr constitutes a national security risk, according to the CFIUS. The committee is trying ...
5 Lessons in Data Governance from Game of Thrones
What can this epic teach us about success and failure in a data governance strategy? Turns out, quite a lot. ...
Scarcity in Skills and Emerging Tech Hamper Audit Teams in Keeping Pace with Change
Gartner surveyed over 300 Chief Audit Executives (CAEs) in 2018 on their resource and time investments, priorities and challenges in ...
The Key to Risk Management Success in 2019
In the year ahead, companies will need to find meaningful and measurable ways to align and integrate risk management with ...
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- Kit Mun Chan, Lau Kean Chong, Chong Poui Fan, Binji Lu, and Youn Chien Wong February 21, 2020SEC Obtains Judgments Against Market Manipulators
- Navellier & Associates, Inc., and Louis Navellier February 20, 2020SEC Obtains Partial Summary Judgment Against Investment Adviser and Principal for False and Misleading Marketing of Investment Strategies
- Emmanuel Kouyoumdjian (a/k/a "Manny K") February 20, 2020SEC Obtains Final Judgment Against Unregistered Broker
