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Compliance Vault-HomeCompliance Vault-Website Archiving for FINRA/SEC Rule 17a-4 Regulatory Compliance
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Compliance Vault-Website Archiving for FINRA/SEC Rule 17a-4 Regulatory Compliance
http://www.compliancevault.com/
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Compliance Vault-Home | compliancevault.com Reviews
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Compliance Vault-Website Archiving for FINRA/SEC Rule 17a-4 Regulatory Compliance
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Compliance Vault-Compliance Checklist
http://www.compliancevault.com/news.html
Just How Safe IS The Cloud? While public cloud storage can be an inexpensive option, it cannot guarantee immutability, and therefore would likely not meet a strict interpretation of regulatory standards. Recently numerous articles have come out exposing the pitfalls and potential risks associated with using cloud storage. Compliance, technology, and financial officers take notice. Apple’s iCloud went down early this morning (and it’s still having problems). Microsoft’s Cloud Goes Dark Across the Globe.
Compliance Vault-3 Questions
http://www.compliancevault.com/3questions.html
3 Website Compliance Questions You Need To Ask. Consider: FINRA categorizes your Website as advertising, and just as you are required to keep copies of your marketing materials, FINRA also requires that you keep archived copies of your Website. 1 Is your Website being stored on a regular basis, especially after updates? Note: If you make changes to your Website and it is not archived, you are out of compliance. Unchangeable, that which cannot be altered or changed.
Compliance Vault-Rules and Regulations
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FINRA Sanctions and Fines…. FINRA fined Barclays $3.75 million for failing to retain important archives in WORM (non-erasable) storage format. Securities regulators require broker-dealer firms to archive and review specific company information, including company emails and their publicly available Websites. In reviewing the 2013 Sutherland FINRA Sanctions Survey, enforcement actions related to record keeping and electronic communications rose significantly - by 132% over the prior year. The archives must...
Compliance Vault-Compliance Checklist
http://www.compliancevault.com/compliance-checklist.html
Website Archiving Compliance Checklist. Website is archived after updates and stored on immutable storage that cannot be modified. Multiple copies kept in separate secure locations. Website archives retained for minimum regulatory time frame (typically six years). Archives recorded in industry standard format to avoid vendor lock-in. Archives are readily accessible (minimum one business day).
Compliance Vault-Home
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Immutable Website Archiving and Social Media Marketing. Firms operating under the Investment Advisors Act of 1940 that use their company Website for sales and marketing purposes are required under the Books and Records section 204-2 to completely archive their Websites for a duration of up to six years. Regulations further require that these archives be immutable; they cannot be modifiable or subject to deletion once written.
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Mortgage Compliance - New Rules, Find DODD/FRANK, GFE, TILA, FHA/VA, Fannie, Freddie
Get Mortgage Compliance News Alerts. Alerts to New Mortgage Compliance Rules. Upcoming Case Law and Rule Changes. Helpful Links to DODD/FRANK Updates. Links to Important Documents/Forms. Links to Official Websites. Enter Your Email To Get Started Now! NOTE: Your Email is Only Used for Daily Email Alerts). ComplianceUpdater is a cost-effective way for me to keep updated on a daily basis to anything involving new rules, DOOD/FRANK, Fannie Mae, Freddie Mac, FHA/VA and more!
Compliance Updates | Relevant updates affecting the UK Compliance Industry
Relevant updates affecting the UK Compliance Industry. The rogue to ruin. You would have to be living in a cave not to have heard about the recent events at UBS. Losses of $2.3 billion from unauthorized trading masked by ficticious positions . But why wasn’t it spotted? The trading was revealed by the trader himself following “inquiries directed at him by UBS control functions that were reviewing his positions” according to the bank. September’s Compliance updates is sponsored by Chase ITS. Over 60% of C...
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Compliance Vault-Home
Immutable Website Archiving and Social Media Marketing. Firms operating under the Investment Advisors Act of 1940 that use their company Website for sales and marketing purposes are required under the Books and Records section 204-2 to completely archive their Websites for a duration of up to six years. Regulations further require that these archives be immutable; they cannot be modifiable or subject to deletion once written.
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