electronic recordkeeping

Navigating the New Regulatory and Compliance Landscape: Electronic Recordkeeping

This excerpt, written by Smarsh Founder & CEO Stephen Marsh, looks at the recordkeeping obligations associated with SEC registration. Also included is what to expect from an examination and how firms can build and maintain an effective compliance program that meets the expectations set by the SEC.

Read this report to understand why going beyond the checklist and creating a culture of compliance can spark additional benefits for your firm.

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