SEC Rule 17a-4 Compliance Guide and Checklist

SEC Rule 17a-4 Compliance Guide and Checklist

SEC Rule 17a-4 Compliance Guide And Checklist

The US Securities Exchange Commission, pursuant to its regulatory authority of the under the US Securities Exchange Act of 1934 (outlining data retention and accessibility requirements), issued Rule 17a-4(f) in 1997. The updated regulation requires broker-dealers, who store records and required books in an electronic format, to comply with…

Blockchain is Coming to Data Management

Blockchain is Coming to Data Management

BLOCKCHAIN IS COMING TO DATA MANAGEMENT

If you haven’t noticed, blockchain, cryptocurrency, and Ethereum have infiltrated the tech and investment industries. But the new technology has already started to infiltrate other sectors, adding serious value to a company’s management and security practices. So what do these Internet-based technologies have to do with...

Why You Should Worry About Rule 17a-4

Why You Should Worry About Rule 17a-4

17a-4

Last April we talked about how to comply with Rule 17a-4(f) under the Securities Exchange Act (SEA). But because many firms still aren’t correctly fulfilling the regulation’s requirements, we figured it’s time for an update.

The US Securities Exchange Commission, pursuant to its regulatory authority of the under the US Securities Exchange Act of 1934 (outlining data retention and accessibility requirements), issued Rule 17a-4(f) in 1997 requiring broker-dealers, who store records and required books in an electronic format, to comply with precise regulations. For example, part of the regulation states...

GDPR Countdown

GDPR Countdown

GDPR Countdown: 3 Months to Comply

May 25, 2018 is right around the corner.

If that date doesn’t ring a bell, we’re here to remind you again about the General Data Protection Regulation (GDPR) passed by the European Union in 2016.

If you do business with European companies or your business stores data about EU citizens, you have until May 25, 2018 to meet the necessary GDPR requirements surrounding data security and management.

Because this is a European law, much of the focus has naturally been on EU companies. But take note: Organizations outside of the EU are still governed by GDPR if they store data, offer services to or monitor the behavior of EU individuals. So if this applies to you in any way, shape or form—no matter how little EU data you have—you are required to...

The 8 Most Important Items You Need to Know About Data Storage Management

The 8 Most Important Items You Need to Know About Data Storage Management

There is no one-size-fits-all solution when it comes to data storage. But there are a few things you need to understand before implementing a management system into your organization.

Data storage management is far more than just backing up files and software to a storage device or the cloud, that’s simply not enough. Here’s what you need to know when it comes to...