Regulatory Compliance

As regulators require stricter record keeping compliance, teams need to consider outsourcing.

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FINRA 2010

Learn how to identify, manage and mitigate the risks and costs associated with FINRA 2210, 2010, 17a-4.

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Mifid II

Understand the risks of Mifid II and the benefits of unified compliance with MirrorWeb.

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SEC 17a-4

Learn the benefits of outsourcing compliance with 17 CFR § 240.17a-3 and 17 CFR § 240.17a-4.

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SEC 206

Understand the disclosure and consent requirements imposed by Sec. 206 of the Investment Advisers Act.

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WORM Compliance

Learn how MirrorWeb can aid with Electronic Records Management and WORM compliance.