Fulfill regulatory compliance requirements with Communication Compliance
Автор: Microsoft Security
Загружено: 2020-09-22
Просмотров: 2212
Описание:
Identifying and remediating communication violations is critical to mitigating financial and regulatory risks as well as ensuring employee or student wellbeing. This becomes of utmost importance to regulated organizations that need to meet specific supervisory compliance requirements, such as FINRA Rule 3110 (Supervision) or SEC 17a-4.
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