‘Enforcement 40’ for 2020
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By Securities Docket on June 22, 2016, 1:11 pm
The Inspector General (IG) of the U.S. Securities and Exchange Commission (SEC) reported last week that the SEC has not sufficiently implemented information technology security upgrades in order to protect highly sensitive information from data breaches. The IG reported that SEC officials failed to deactivate idle user accounts, did not ensure that owners kept their […]
By Securities Docket on June 22, 2016, 11:12 am
A disturbing video of a Chinese bank’s effort to improve employee performance — through public, violent spankings of employees — was posted yesterday in a BBC article. The video, which will make even the most hardened U.S. compliance officer cringe, shows a line of employees from Changzhi Rural Commercial Bank being subjected to an awful “team-building” workshop in […]