If you’re a broker-dealer, you must be compliant with SEC Rule 17a-4. Make sure you know the regulations for Electronic Storage Media (ESM), and why it’s necessary to work with a Designated Third Party (D3P) to safeguard your electronic records.
You know that your organization needs to retain a designated third party who can access electronically stored information for the SEC’s review. You know that you need to be prepared if you face an audit by FINRA, the Financial Industry Regulatory Authority. But what you may not know is how you can easily demonstrate compliance.Learn how 4 of the nation’s top 5 bank holding companies manage this requirement — and how you can, too, in this solution brief.