Regulatory Compliance Coverage
We understand the impact of requirements based on SEC Rule 17a-4 electronic recordkeeping requirements (6-year retention with WORM compliance for broker-dealers), FINRA cybersecurity oversight standards, PCI-DSS data security protocols for payment card environments, SOX IT general controls and audit trail mandates, and Gramm-Leach-Bliley Act (GLBA) Safeguards Rule customer information protection.