Schedule a Demo

BLOG

See the latest news and insights around Information Governance, eDiscovery, Enterprise Collaboration, and Social Media. 

4 Reasons it Pays to Comply with FINRA & SEC Recordkeeping Laws

Complying with your industry's record keeping regulations may seem like a given; yet stories of non-compliance continue to circulate in the news. Unaware of the significant harms of failing to meet regulations, many organizations are overlooking compliance as a major priority. Let's take a look at a few reasons why compliance should always sit at the top of your organization's priority list, and the costs you can avoid by doing so.

Investment Advisors - Fulfilling Form ADV Social Media Disclosure Requirements

What’s the deal? In recent news, the SEC has made amendments to reporting requirements for investment advisors, changing the way in which the SEC evaluates the risk profiles of investment advisors, and helping to reduce the likelihood of fraudulent activity. The amendments concern what’s known as “Form ADV”, a form required for investment advisors to register with the SEC. A large part of the form asks investment advisors for details on their business, including their clients’ history, employees, business practices etc.

Q&A With Jason Wenk - CEO, Retirement Wealth Advisors

We touched base with our financial services client, Jason Wenk, CEO of Retirement Wealth Advisors to find out how PageFreezer has helped his business meet regulations and focus on what they do best - helping clients live more enjoyable lives with smarter financial planning.

Why Social Media Archiving is a Must Have for Financial Services

Ever since social media first came into our lives with the emergence of platforms like MySpace in the early 2000s, it has shown no signs of slowing down. Today, over 30% of the world’s population utilizes some type of online community. In the U.S, that number amounts to 73%. Facebook itself has more active users than China’s entire population of 1.40 billion! While social media offers the benefits of extended reach, flexibility and freedom as a means of communication, financial services firms can find themselves at serious risk if they fail to archive social media content like other business communications.

SEC Rule 17a-3 and Recordkeeping Compliance

What Is The Securities Exchange Act (SEA) Rule 17a-3? Rule 17a-3, part of the Securities Exchange Act (SEA), is a regulation issued by the U.S Securities and Exchange Commission (SEC). Anyone working within trading securities, either as a broker or dealer, needs to have a clear understanding of what it demands.

    Related Posts

    Social Media Evidence Key Factor in Estimated 500,000 Litigation Cases Last Year

    These days, nearly every litigation matter involves social media evidence. If your case does not feature such important evidence, it is likely because you are not looking for it.

    Best Evidence Rule Requirements For Social Media Evidence

    What is the Best Evidence Rule (Or FRE 1002)? The Best Evidence Rule, as codified in Federal Rule of Evidence 1002 (FRE 1002), is a principle in the law of evidence that governs the admissibility of the contents of writing, recordings, and photographs in court.

    What is WARC and Why is it Important for Regulatory Compliance?

    If you’re trying to archive your website, whether for litigation readiness, corporate heritage, or you are just trying to make sure your website is compliant with your industry’s regulatory requirements, you will likely encounter a little ol’ file type called WARC (Web ARChive).