Industry Brief

What Does the SEC 17a-4 Regulatory Recordkeeping Update Mean for You

Protecting your firm in the era of the 'next big app'

Hybrid and remote workforces are working from everywhere, using a variety of social and mobile applications that are more easily accessible than ever. This complicates a firm’s ability to meet recordkeeping and supervisory obligations defined in a bygone era of communications technology.

But recordkeeping rules are being rewritten — or in this case, updated. SEC Rule 17a-4 was recently modernized to focus less on “electronic storage media” and more on the firm’s systems and controls that make up an “electronic recordkeeping system.” But what does this mean to firms?

Get this industry brief to explore the reasons behind the SEC 17a-4 update, and learn what firms need to do to stay compliant in the face of evolving communication trends, habits and technologies.

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