In-Network Mobile recording

In-Network Mobile recording

Regulation and Laws for Compliance and Archiving Placeholder
Regulation and Laws for Compliance and Archiving

REGULATORS

  • U.S. Securities and Exchange Commission

SEC Rule 17a-4: Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934

Dodd-Frank The Wall Street Reform and Consumer Protection Act

  • UK Financial Conduct Authority

FG15/4: Social media and customer communications

  • European Union

EU Pharmacovigilance

MiFID II: The Markets in Financial Instruments Directive

FINRA Rule 2111: Suitability

FINRA 4511: General Requirements

FINRA 3510: Business Continuity Plans

FINRA 3012: Supervisory Control System

FINRA 2711: Research Analysts & Research Reports

FINRA 2310: Recommendations to Customers (Suitability)

FINRA 2211: Institutional Sales Material and Correspondence

Regulatory notice 10-06: Social media web sites

Regulatory notice 07-59: Supervision of electronic communications

Regulatory notice 11-32: Reporting requirements

Regulatory notice 11-39: Social media websites and the use of personal devices for business communications

Health Insurance Portability and Accountability Act of 1996 (HIPAA)

  • Federal Energy Regulatory Commission

18 CFR Part 35 & Part 284

Gramm-Leach-Bliley Act

  • Japan’s Financial Instruments and Exchange Act

Japan’s Financial Instruments and Exchange Law (J-SOX)

Japan Personal Information Protection Act (JIPIPA)

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