Search for: "Document Security Systems, Inc. "
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21 Dec 2021, 2:46 pm
” Thus, security procedures may include requiring personal identifying information—such as a social security number or an address—to register for an account; assigning a unique identifier to a user and then tying that identifier to the user’s actions; maintaining a single, secure system for tracking user activities that prevents unauthorized access to electronic records; business rules that require users to complete all steps in a program… [read post]
17 Aug 2022, 7:03 am
The post Axiom Capital Management Inc. [read post]
17 Aug 2022, 6:56 am
The post Axiom Capital Management Inc. [read post]
23 Oct 2020, 2:00 pm
In order to protect investors from stockbroker misconduct, FINRA rules require brokerage firms to establish and implement a supervisory system. [read post]
5 Jan 2021, 12:18 pm
They must ensure the necessary procedures and systems to detect misconduct. [read post]
23 Sep 2014, 11:49 am
At the center of the broad class-action lawsuit are claimed losses from investing in mortgage-backed securities sold by IndyMac MBS, Inc. [read post]
23 Aug 2010, 4:51 pm
©2010 Amaxx Risk Solutions, Inc. [read post]
7 Jan 2010, 12:17 pm
Arizona stated: “Lawyers providing an online file storage and retrieval system for client access of documents must take reasonable precautions to protect the security and confidentiality of client documents and information. [read post]
23 Nov 2019, 8:55 am
Coburn, formerly registered with Securities America, Inc. [read post]
2 Jan 2007, 10:39 am
P: 732.679.1347 E: cdepko@legalvoice.com Karen Pursch Director of Marketing Catalyst Repository Systems, Inc. 1860 Blake Street, 7th Floor Denver, CO 80202 P: 303.824.0844 E: kpursch@catalystsecure.com Mentions: Catalyst Repository Systems, Inc. - web site | Socha Consulting listing [read post]
6 Oct 2022, 9:56 am
When routing an equity investment, an option, or a bond order for execution, brokers must examine, track, and document. [read post]
30 May 2024, 7:28 am
Thrivent Investment Management Sanctioned by Securities Regulators Thrivent Investment Management Inc has reportedly been fined $325,000 and sanctioned for failing to properly supervise electronic signatures, which led to the falsification and forgery of customer documents, according to the Financial Industry Regulatory Authority (FINRA). [read post]
10 Feb 2024, 4:16 am
Founded in 2021 by former Snap Inc. machine-learning managers Sergey Demyanov and Maksim Ivanov, Beagle aims to transform the legal industry’s approach to document collection, analysis, and exchange in legal disputes. [read post]
17 Oct 2018, 4:19 pm
When conducting these assessments, HIPAA Entities generally will want to ensure that their new enterprise risk assessment documents their consideration of the newly updated Security Risk Assessment (SRA) Tool jointly announced yesterday (October 16, 2018) by the Department of Health & Human Services (HHS) Office of the National Coordinator for Health Information Technology (ONC) and OCR, lessons shared in OCR’s $16 million Anthem, Inc. resolution agreement, $5.55… [read post]
27 Jan 2012, 7:03 am
., Inc. [read post]
19 Jan 2022, 8:11 am
Built on the Salesforce Lightning Platform, Symphony provides clients with industry-leading IP automation, workflow, document management, data services, annuity management, and security, among others. [read post]
21 May 2007, 10:18 pm
Additionally, the exchange alleged, the firm did not have an adequate monitoring system to review and document follow-up on exceptions found by the firm's department, the release stated. [read post]
31 Mar 2016, 12:11 pm
Schultz was associated with brokerage firm TFS Securities, Inc. from September 2008 until December 2010. [read post]
27 Mar 2007, 11:11 pm
So far the IPKat has only found a note on European Central Bank v Document Security Systems Inc [2007] EWHC 600 (Ch) on LexisNexis Butterworth's subscription-only service. [read post]
24 Feb 2011, 7:23 am
Judicial Watch seeks records related to the FDIC’s decision to guarantee $306 billion of loans and securities held by Citigroup Inc., and $118 billion held by Bank of America. [read post]
