How to Comply with Rule 17a-4

How to Comply with Rule 17a-4

In January, the Financial Industry Regulatory Authority (FINRA) released its 2017 Annual Regulatory and Examination Priorities Letter to inform firms about weaknesses in regulatory programs and ways they can strengthen “compliance, supervisory and risk management controls to protect investors, the markets and themselves.”

One area the letter pointed to was the failure of many firms to comply with Rule 17-a4(f) under the Securities Exchange Act (SEA), which “requires firms to...

What to Do if Your Organization is in a Storage Crisis

What to Do if Your Organization is in a Storage Crisis

A crisis may be defined as an unplanned event, situation or sequence of events having an undesirable consequence. And many organizations may have plans for such scenarios in departments like marketing, public relations, and account management. But what about a crisis in data and...

Information Governance Part 2: Top 10 Reasons You Need an IG Process in Place

Information Governance Part 2: Top 10 Reasons You Need an IG Process in Place

In part two of our two-part series on information governance, we're here to tell you why you need a robust IG system in place.

In case you need a reminder, information governance is a specifically designed framework to handle personal information within an organization securely. It provides clarity between existing operations and delivers unity between...