Regulatory Requirements

Meeting Regulatory Requirements: How to Demonstrate Supervision & Evidence Books & Records

Is your firm prepared to show evidence of compliance and supervisory efforts if regulators come knocking? The SEC and FINRA routinely call out firms for failing to maintain required records, retaining records that are inaccurate or incomplete, and for general record-keeping inconsistencies.

Download “Meeting Regulatory Requirements” for how you can demonstrate supervision and provide evidence books & records across your business and be ready when called upon by regulators.

Marketo Form: 1623