Securities Act and KOMpliance

Securities Act Securities Act The Ontario Securities Commission enacted the Securities Act to protect investors from unfair, improper or fraudulent practices and to foster fair and efficient capital markets and confidence in capital markets. This act refers to...

SEC 17a-3 and 17a-4 and KOMpliance

SEC 17a-3 and 17a-4 and KOMpliance SEC 17a-3 and 17a-4 SEC 17a-3 and 17a-4 apply to all Defined Exchange Members SEC 17a-3 specifies the records to be made by Certain Exchange members. SEC 17a-4 specifies the records to be preserved by Certain Exchange Members....

Sarbanes-Oxley and KOMpliance

Sarbanes-Oxley and KOMpliance Sections 802(a) and 802(a)(1) Prohibits knowingly altering, destroying, mutilating, concealing, covering up, falsifying, or making a false entry in any record, document, or tangible object with the intent to impede, obstruct, or influence...

PIPEDA and KOMpliance

KOMpliance and PIPEDA – (Personal Information and Electronic Documents Act) The purpose of this Act is to protect the privacy of individuals with respect to personal information about themselves held by organizations based in or doing business in Canada and to provide...

PCI DSS and KOMpliance

PCI DSS and KOMpliance PCI DSS applies wherever account data is stored, processed or transmitted. Account Data consists of Cardholder Data and Sensitive Authentication Data. Cardholder Data is defined as the full Personal Account Number (PAN), or the full PAN with any...