Federal and state regulations that govern different aspects of corporate business have existed for a long time, but the corporate scandals of the past few years have created a compliance hype that is affecting many companies, from unknown start-ups to multinational corporations. This study analyzes the experience of a midtier investment management firm in implementing a compliance solution provided by Permabit in partnership with CommVault. The subject of this case study, a midtier investment management fund ("the firm"), faced the challenge of meeting SEC 17a-4 regulations, which establish retention policies for brokers, dealers, and Exchange members.
Did you find this white paper useful?
25 out of 50 users found this white paper useful
Related white papers
An Integrated Approach to Managing Governance, Risk, and Compliance
Given today's highly regulated environment, how can you control risk, drive performance, and inspire greater stakeholder confidence? To address these requirements, forward-thinking organizations are moving toward an integrated program of...
The State of the Art in Finance
Benchmarking is an important tool that finance organizations use to stay competitive. It allows them to determine the value of adopting best practices and changing business processes. To assess the...
The Case for Document Management
Are you asking how to avoid court-imposed sanctions? Are you wondering how to keep the escalating costs of electronic and paper discovery to a minimum? Whether the objective is to handle...
Getting ahead of security issues, compliance regulations and IT processes
It can be difficult to ensure the confidentiality and integrity of your critical data with customers demanding 24/7 secure access to their data and regulators applying pressure on your business....
Compliance Made Easier - Osterman Webinar
MessageLabs takes your business compliance needs seriously. The compliance webinar, "Why You Need to Focus on SEC & NASD," featuring Michael Osterman from Osterman Research, demonstrates the various compliance issues...
E-mail Archiving: Analyzing Return on Investment
This white paper highlights some of today's most pressing e-mail management challenges, including bloated inboxes, redundant data storage, excessive backup activity, and lost productivity. The paper explains how an enterprise...
Six Tips Small and Midsize Businesses Can Use to Protect Their Critical Data
Whether you're a billion dollar financial services firm or a twenty-person regional service provider, you are probably increasingly dependent on your data for your day-to-day operations. But the deluge of...
