FINRA Rules 3110, 4511, 4551, 7440 and 8210

Financial firms must comply with a number of extremely specific rules ensuring the existence of written Supervisory Procedures, the retention of internal communications, and the preservation of books and records. These materials must be readily available for inspection by FINRA staff and adjudicators.

The KOMpliance secure storage solution automatically retains all required records, files and documents; preventing any loss, modification, or corruption for the specified retention periods while keeping them readily available for inspection.

Meet SEC 17a-3 requirements on any network, physical or virtual.

 

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What Our Clients Say

  • KOMpliance provides us with functionality that wasn’t available before. We no longer have to worry about meeting different regulatory requirements for different types of studies or patients.

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