Search for: "Best Security Industries"
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12 Oct 2018, 10:25 am
Banality at its best (or worst). [read post]
24 Dec 2020, 3:37 am
District Court Enters Permanent Injunction Shutting Down Technical-Support Fraud Scheme (DOJ Release)SEC Charges Long Island City Man with Trading and Tipping Others as Part of Insider Trading Scheme (SEC Release)Public Petitions for Rulemaking: Request to adopt amendments to rules applicable to SPAC IPOs to permit SPACs to conduct public offerings on a best-efforts basis (SEC Release)Moving the Goal Line In a FINRA Expungement Arbitration (BrokeAndBroker.com Blog)District Court Enters… [read post]
9 Nov 2018, 5:31 am
Costumes, Candy, and Compliance: Remarks at the National Membership Conference of the National Society of Compliance Professionals by SEC Commissioner Hester Peircehttps://www.sec.gov/news/speech/speech-peirce-103018In another thoughtful yet provocative speech, SEC Commissioner Peirce muses about the best way to calibrate enforcement in terms of encouraging diligent in-house compliance policies and practices. [read post]
3 Dec 2021, 12:59 pm
No Show Respondent in FINRA Arbitration Prompts No Explanation in Award (BrokeAndBroker.com Blog)Founder of Investment Advisory Firm Charged with Wire Fraud, Investment Adviser Fraud and Money Laundering (DOJ Release)SEC Charges Dialysis Provider and Three Former Senior Executives with Revenue Manipulation Scheme / American Renal Associates Agrees to Pay $2 million Civil Penalty (SEC Release)No Show Respondent in FINRA Arbitration Prompts No Explanation in Award … [read post]
4 Mar 2016, 10:17 am
Knowledge of major health information security policies, best practices, organizations, and trends. [read post]
7 Jan 2021, 8:20 am
It is the OCR’s hope that insights from the Report will enhance industry awareness of compliance obligations and assist the OCR in developing tools and guidance to assist industry compliance, self-evaluation, and prevent data breaches. [read post]
2 Feb 2023, 10:38 pm
Despite these obstacles, the attorneys at Petro Cohen, P.C., are committed to continue the fight even in the face of long odds in order to secure the best possible result for our clients. [read post]
15 Mar 2022, 6:27 pm
You can also expect conversations on areas like business development, data security, and work-life balance. [read post]
12 Dec 2017, 12:39 pm
Programs designed with these and other questions in mind will no doubt place a company in the best possible position to have the information and tools needed to take advantage of the revised policy by securing a declination or Guidelines Range reduction through voluntary self-disclosure, full cooperation, and timely and appropriate remediation. [read post]
14 Sep 2011, 1:40 pm
The program that works best for your firm should fit both your budgetary and business needs. [read post]
15 Oct 2019, 12:00 pm
Businesses would like to acquire the best management talent, but at the same time, have flexibility to make quick changes in leadership. [read post]
15 Oct 2019, 12:00 pm
On the flipside, executives want job security, plenty of authority to accomplish their mandate and adequate compensation. [read post]
22 Apr 2015, 8:19 am
By expanding the current model, ISAOs have the potential to encompass the needs of all industry groups, both public and private. [read post]
6 Jan 2015, 6:01 am
Related party transactions are rife with problems in all areas of the financial services industry. [read post]
4 Jan 2024, 10:56 am
The securities regulator barred him from the industry as of December 15, 2023. [read post]
29 Oct 2013, 10:40 am
The best and brightest of these firms will undoubtedly rise to the top over time. [read post]
28 Oct 2011, 12:51 pm
This has left them confused about how best to defend and protect systems. [read post]
20 Feb 2013, 10:33 am
And industry is now on the record stating that companies do not normally need to share PII with the government. [read post]
2 Jan 2022, 6:03 pm
Before the holidays, the Securities and Exchange Commission issued a Staff Statement Regarding Form CRS Disclosures. [read post]
8 Dec 2015, 6:51 am
Marinelli entered the securities industry in 1999. [read post]
