Supervision & Compliance Rules – Backup

Compliance Regulations and Laws

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With our innovative supervision tools you can:

• Easily review flagged content
• View message access, reviews, comments and more
• Create reports for all users
• Export data in PST or EML format for audit requests
• Create policies that exclude certain content
• Limit auditors to “view only” access during examinations to reduce time
• Search, retrieve and supervise hyperlinked and 3rd party content

Looking for information about specific a supervision rule?

Click on the rule below to learn more.

• MIFID Article 51(3)
• SEC Rule 17a-3: Records to be Made by Certain Exchange Members
• SEC Rule 17a-4: Records Preservation
• Financial Conduct Authority (FCA): Social Media and Customer Communications Guidance
• Financial Conduct Authority (FCA) Conduct of Business Sourcebook
• FINRA Regulatory Notice 07-59
• FINRA Regulatory Notice 10-06
• FINRA Regulatory Notice 10-59
• FINRA Regulatory Notice 11-32
• FINRA Regulatory Notice 11-39
• FINRA Regulatory Notice 12-29
• FINRA Rule 4511
• FINRA Rule 8210
• NASD 3010 – Supervision of Sales Activities
• NYSE 472 – Communications with the Public
• FSA Conduct of Business Rules (Rule 5.54 & Appendix 18)
• Gramm-Leach-Bliley Act (GLBA)
• IIROC Regulatory Notice 11-0349
• Investment Company Act of 1940
• Investment Dealers Association of Canada (IDA 29.7)
• IRS Rev Proc 97-22 (Books & Records; Electronic Storage; Imaging)
• Dodd-Frank Wall Street Reform and Consumer Protection Act
• Massachusetts Data Breach Law
• National Instrument 31-103 (NI 31-103)
• Regulation S-P
• Sarbanes-Oxley Act of 2002 (SOX)
• FINRA 2210 – Communications with the Public
• FINRA 2310 – Recommendations to Customers (Suitability)
• FINRA 3110 – Supervision & Supervisory Control System
• FINRA 3120 – Supervision & Supervisory Control System
• 17 CFR Part 45 – Commodity Futures Trading Commission (CFTC) Rule
• Federal Financial Institutions Examination Council (FFIEC) Guidance on Social Media
• 17 CFP 1.31 – Commodity Futures Trading Commission (CFTC) Rule 1.31

* Erado assumes no liability for the accuracy or completeness of this information. Please consult with an attorney for information on specific rules and regulations and how they apply to your business.