1-Minute Case Study Pack — How Global FinServ Companies Comply with FINRA/SEC Recordkeeping
Complying with SEC/FINRA website recordkeeping can be tricky, especially when you’re responsible for hundreds of websites and hundreds of thousands of web pages. At the same time, compliance is not optional. Failure to produce records requested by the SEC, CFTC, or FINRA can result in fines that stretch into the millions of dollars.
These short case studies illustrate how two global financial services firms implemented automated website archiving to not only meet recordkeeping requirements, but also reduce the time cost and compliance risks associated with manual archiving.
Read all of the short case studies now.
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