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Web Archiving for FINRA Compliance

Hanzo Learning Center

Do your web archives have inTegrity? There’s a trend today toward more interactive and personalized web content, but that makes online archiving technically challenging. In the financial services industry, FINRA and SEC regulations demand that all online content that represents business communications must be supervised and retained.

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The Bottom Line on Archiving Online Communications Under SEC Rules 17a-3 and 17a-4

Hanzo Learning Center

If you’re in the financial services industry, you’ve got a lot on your plate. You’re researching investments, advising customers, marketing your business, and maintaining strict compliance with a veritable alphabet soup of regulations.

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How to create value through digital archiving

CILIP

How to create value through digital archiving. Understanding digital archiving Crown Records Management have shared content from their Vault Podcast Series, and we'll be publishing more content in the coming weeks. Kevin: Excellent, so digital archiving what is that all about? Archiving new technology.

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Archives Records 2018 RMS Annual Meeting

The Schedule

” The first speaker was Lauren Gaines from Thrivent Financial, which is a fraternal benefit society and Fortune 500 financial services organization. This is a closed repository with no reading room; all external requests for information are subject to approval by the Communications and Legal staff.

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4 Special Requirements Social Media and Collaboration Create for GDPR Compliance

AIIM

Firms are increasingly allowing employees to use social media for business purposes, but both GDPR regulators and regulations such as FINRA and the SEC in the financial services industry, now demand that organizations develop strong internal procedures and controls to ensure they manage associated risks effectively.

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Indonesia Publishes Proposed Data Protection Rule

Hunton Privacy

On July 14, 2015, pursuant to an implementation requirement of Government Regulation 82 of 2012, the Indonesian government published the Draft Regulation of the Minister of Communication and Information (RPM) of the Protection of Personal Data in Electronic Systems (“Proposed Regulation”). 82 of 2012.

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Summary – “Industry in One: Financial Services”

ARMA International

The scope of a records and information management (RIM) program in financial services can seem overwhelming. Compared to other industries, the complexities of managing records and information in financial services are arguably some of the toughest to solve, primarily because of the intense regulatory scrutiny.