Regulatory and Compliance
Finance, Banking, and Insurance Requirements
Regulatory and Compliance
Finance, Banking, and Insurance Requirements
FINRA Rule 3110
Key Requirements of FINRA Rule 3110(b)(4)
Review of Communications
- Firms must have procedures to review incoming and outgoing correspondence and internal communications relating to their investment banking or securities business.
- This includes emails, messaging apps, and other electronic communications.
Retention and Accessibility
- Communications must be retained in a non-rewriteable, non-erasable format (e.g., WORM-compliant storage).
- Data must be easily accessible for audit or regulatory review.
Kentron’s Solutions for FINRA Compliance
To be added
CFTC Regulation 1.35(a)(1)(iii)
To be added