Communication Supervision Archives - Master Compliance

31 05, 2023

Communication Recordkeeping in the Day of the Hybrid Workforce
Gallery
Communication Recordkeeping in the Day of the Hybrid Workforce
Broker-Dealer, Broker-Dealer Ownership, Communication, Communications, FINRA, Rules and Regulations

Communication Recordkeeping in the Day of the Hybrid Workforce

By admin|2023-05-31T11:57:23-04:00May 31, 2023|Broker-Dealer, Broker-Dealer Ownership, Communication, Communications, FINRA, Rules and Regulations|

All broker dealers have recordkeeping obligations required by Rule 17a-4(b)(4) [...]

17 03, 2021

Message Archiving
Gallery
Message Archiving
Broker-Dealer, Communications, Cybersecurity, FINRA, Rules and Regulations, Social Media, Supervision

Message Archiving

By admin|2021-03-17T09:41:39-04:00March 17, 2021|Broker-Dealer, Communications, Cybersecurity, FINRA, Rules and Regulations, Social Media, Supervision|

An important component of financial compliance for broker-dealers is establishing [...]