As regulators require stricter record keeping compliance, teams need to consider outsourcing.
Learn how to identify, manage and mitigate the risks and costs associated with FINRA 2210, 2010, 17a-4.
Understand the risks of Mifid II and the benefits of unified compliance with MirrorWeb.
Learn the benefits of outsourcing compliance with 17 CFR § 240.17a-3 and 17 CFR § 240.17a-4.
Understand the disclosure and consent requirements imposed by Sec. 206 of the Investment Advisers Act.
Learn how MirrorWeb can aid with Electronic Records Management and WORM compliance.