Tag Archives: data protection
Why it’s time for your broker-dealer firm to update its data management infrastructure
By Horizon’s Chief Information Officer Peter Hall & Vanessa Malone Current data management landscape So far in 2020, FINRA has taken disciplinary action against 5 firms and 100 individuals for compliance issues surrounding information management or for failing to produce information in a timely manner.¹ With the world’s sudden and forced transition to remote offices […]Continue Reading
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