Stop Being A Stooge. Understand Microsoft 365 And 17a-4 Before Making The Move
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 [...]