FINRA & SEC Compliance Solutions
No matter what type of industry you work in, it is very likely that you have some sort of compliance requirements. From federal, state and local regulations to industry-specific requirements, there is no shortage of regulation in the U.S. and abroad. Compliance with a variety of regulations can be a headache without the right solutions in place. But there is one thing that is universal – the data in question needs to be protected.
Globanet Specializes in SEC Compliance, FINRA Compliance and many others.
Regulatory compliance isn't limited to financial services and healthcare. There are a variety of regulations organizations may need to comply with, including:
- Federal Rules of Civil Procedure (FRCP)
- Financial Industry Regulatory Authority (FINRA)
- Freedom of Information Act (FOIA)
- Gramm-Leach-Bliley Act (GLB or GLBA)
- Health Insurance Portability and Accountability Act (HIPAA)
- Red Flags Rules
- Sarbanes-Oxley Act (SOX)
- U.S. Securities and Exchange Commission (SEC)
To meet regulatory compliance requirements, it's imperative to have a solution in place that not only captures various data types (email, IM, texts, social media posts, etc.), but also keeps it safe yet accessible. It may sound like a tall order, but a comprehensive archiving solution can achieve this without breaking a sweat.