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Compliance Vault's Weblog | Compliance Vault

Compliance Vault's Weblog. Rules & Regulations. Regulated financial firms are required to use WORM when archiving. July 23, 2015. WORM optical media (Write-Once Read-Many) describes a data storage format that means the information being stored cannot be modified, changed, or altered in anyway. Storing information to WORM unequivocally proves that the information being stored is authentic. Why does this matter? For financial firms this includes your firms Website, social media, and email. June 4, 2015.

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Compliance Vault's Weblog | Compliance Vault | cvau.lt Reviews

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Compliance Vault's Weblog. Rules & Regulations. Regulated financial firms are required to use WORM when archiving. July 23, 2015. WORM optical media (Write-Once Read-Many) describes a data storage format that means the information being stored cannot be modified, changed, or altered in anyway. Storing information to WORM unequivocally proves that the information being stored is authentic. Why does this matter? For financial firms this includes your firms Website, social media, and email. June 4, 2015.

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Compliance Vault's Weblog | Compliance Vault | cvau.lt Reviews

https://cvau.lt

Compliance Vault's Weblog. Rules & Regulations. Regulated financial firms are required to use WORM when archiving. July 23, 2015. WORM optical media (Write-Once Read-Many) describes a data storage format that means the information being stored cannot be modified, changed, or altered in anyway. Storing information to WORM unequivocally proves that the information being stored is authentic. Why does this matter? For financial firms this includes your firms Website, social media, and email. June 4, 2015.

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compliancevault.com

Compliance Vault-Home

http://www.compliancevault.com/index.html

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.

compliancevault.com

Compliance Vault-About Us

http://www.compliancevault.com/about-us.html

As financial services professionals, you recognize the challenges firms face to provide timely news and relevant information on your company Websites. Couple this expectation with the increasingly complex and dynamic legal requirements mandated by FINRA/SEC, particularly regarding Website archiving regulations. We are dedicated to the financial services industry. Our stringent Website archiving standards allow you to meet FINRA/SEC, even the most stringent Website archiving requirements. Ms Perry earned ...

compliancevault.com

Compliance Vault-Social Media Marketing

http://www.compliancevault.com/social-media-marketing.html

Social Media Marketing: Fad or the Latest Revolution? Is your firm struggling to address the legitimacy and return on investment of social media marketing? Is the only reason you have a Facebook and Twitter presence because you think that you should? How does social marketing fit into your overall strategic marketing plan? Undoubtedly, the facts surrounding social media certainly present an impressive story. For instance, consider that if Facebook were a country it would be the 3. Offers several solution...

compliancevault.com

Compliance Vault-Distinctive Features

http://www.compliancevault.com/distinctive-features.html

Complete List of Features. We believe the Compliance Vault immutable archiving services offer three distinguishing features that set apart us apart. 1) Strict adherence to regulatory rules and guidelines. We archive your Website using Compliance Vault. Wholly-owned Write-Once Read-Many (WORM) storage technology to guarantee immutability. 8226; This means that the information that we capture is immutable and cannot be modified or deleted–complying with SEC Rule 17a-4. 8226; This means that your archived i...

compliancevault.com

Compliance Vault-Rules and Regulations

http://www.compliancevault.com/rules-regulations.html

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...

compliancevault.com

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).

compliancevault.com

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.

compliancevault.com

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.

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Compliance Vault's Weblog | Compliance Vault

Compliance Vault's Weblog. Rules & Regulations. Regulated financial firms are required to use WORM when archiving. July 23, 2015. WORM optical media (Write-Once Read-Many) describes a data storage format that means the information being stored cannot be modified, changed, or altered in anyway. Storing information to WORM unequivocally proves that the information being stored is authentic. Why does this matter? For financial firms this includes your firms Website, social media, and email. June 4, 2015.

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