Overcoming Recordkeeping Compliance Challenges

Financial services firms are under increased pressure to comply with regulations such as SEC Rule 17a-4, Dodd Frank and CFR 1235.  Are you confident you have the proper governance, electronic and physical recordkeeping infrastructure in place, and the ability to quickly adapt to new rules and regulations?

Watch our on-demand webinar, “Overcoming Recordkeeping Compliance Challenges,” presented by Ronald Hedges, Principal Ronald Hedges, LLC.  Mr. Hedges, a former Magistrate Judge of the US District Court who currently mediates and consults on e-discovery and records management issues, will prepare you with the types of tools that are required by FINRA and the SEC—and are essential to compliance.

 

In this webinar you will learn:

  • Information governance and recordkeeping best practices.
  • Sound guidance on how to avoid litigation.
  • Steps to assess compliance to rules and regulations.
  • How companies such as Access bring a unique end-to-end approach to information management.

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