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financial firm cybersecurity

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This tag covers cybersecurity and regulatory compliance for financial firms, with a focus on FINRA and SEC Rule 17a-4. Content discusses using Microsoft 365 to meet record-keeping requirements, including gap assessments to identify compliance issues. Topics include electronic record retention in non-rewriteable formats and achieving audit readiness. The tag is relevant for IT professionals and compliance officers in financial services managing Microsoft 365 environments.
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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...
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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
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