Write Once Read Many (WORM) compliance represents a set of policies and technologies designed to ensure that once data is written to a device, it cannot be altered or erased. Whether you are an IT Director, Compliance Manager, or a CTO, this guide will equip you with a comprehensive understanding of WORM technology and its […]
How to Meet FINRA Compliance and Retain Records in Line With SEC 17a-4
The financial sector is overseen by two key regulatory bodies that determine how you manage your business records — FINRA and the SEC. Due to the complexity and rigor of these regulations, it’s challenging to comply, and many financial firms still face hefty fines. However, there are strategies and solutions you can implement to get […]
