We’re Leading the Way in 17a-4 Data Compliance
Data Archiving for FINRA
I’ve noticed lots of confusion these days about data compliance, I don’t know whose fault it is – could be the regulators, or the compliance officers, could be the consultants; I suspect it’s the big IT vendors trying to up-sell us (you know who I'm talking about) but the problem is no one is coming [...]
Since FINRA has given firms the green light to use the cloud, it’s important they understand how to make it 17a-4 compliant. Because compliance officers don’t want to be a Stooge if they go ahead and move their operations to Microsoft 365, then come audit time, it'll be especially embarrassing when the regulator is in [...]
Let’s go over three simple things you can do (I am talking to compliance officers now) that'll help your firm reduce tech spending while at the same time meet the demands of rule 17a-4: a really important thing these days, especially if you’re a small FINRA firm with a limited budget and no in-house IT [...]
