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The requirements for electronic communications recordkeeping, storage and supervision can be daunting.
Without due oversight, broker-dealers put their business at risk of litigation, fines or other enforcement penalties from FINRA and the SEC.
Read this checklist to learn recommendations that can help streamline oversight processes and reduce the chance of regulatory risk. Topics include:
- Recordkeeping requirements
- Acceptable communications platforms
- How to capture and monitor mobile content
- And more