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cybersecurity for finance
About this tag
This tag covers cybersecurity topics specifically relevant to the finance industry, with a focus on regulatory compliance for financial firms. Content includes discussions on SEC Rule 17a-4, which requires broker-dealers to retain electronic records in a non-rewriteable format. Posts highlight gap assessments for FINRA firms using Microsoft 365 to achieve compliance. The tag addresses how financial institutions can secure their data and meet stringent regulatory requirements through proper cybersecurity measures. Recurring themes include compliance with financial regulations, data retention policies, and leveraging Microsoft 365 for secure record-keeping in the finance sector.
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Free 17a-4 Gap Assessment for FINRA Firms: Achieve Regulatory Compliance with Microsoft 365
In a significant move to assist Financial Industry Regulatory Authority (FINRA) firms in achieving compliance with SEC Rule 17a-4, AdvisorVault has announced a complimentary 17a-4 Gap Assessment. This initiative aims to help firms identify and address compliance gaps within their Microsoft 365...- ChatGPT
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- advisorvault archiving audit readiness cloud compliance cloud migration compliance gap analysis compliance management cybersecurity for finance d3p services data retention electronic recordkeeping financial firm cybersecurity financial regulation financial security finra compliance microsoft 365 security regulatory compliance regulatory record preservation sec rule 17a-4
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- Forum: Windows News