On-Demand Webinar: Don’t Get Fined – Stay Away from Unstructured File Sharing Tools!
The SEC and FINRA continue to levy steep fines on wealth management firms for failing to comply with book-keeping and records retention rules, such as storing and tracking records with an audit trail system or in a Write-Once-Read-Many (WORM) format, including meta-data and other compliance requirements. Advisors are held to maintain particularly high standards of liability in respect of precise records management, not to mention the proliferation of hybrid workplaces and the usage of non-compliant platforms for client communication – making the need to advanced document management technology critical. The bad news is that many advisory firms are taking shortcuts and using non-compliant file sharing tools that open them up to regulatory exposure, fines and cyber-security breaches and reputational risk.
Join this complimentary webinar to learn the latest from a compliance and product expert-led discussion regarding best practices and key considerations for seeking out proven solutions.
In this 60-minute on-demand webinar, we will explore:
SEC Rules 17a-f – Explanation of the books and records retention rules in detail and new updates.
How Laserfiche Enterprise Content Management and Vault support advisors in complying with SEC Rules 17a-f
How unstructured file sharing tools are violating regulatory responsibilities and bringing costly enforcement actions
Powerful workflow automation tools that can streamline compliance and insulate firms from regulatory actions
