| Publisher | Kahn Consulting | ||
|---|---|---|---|
| Format | 302.5KB PDF | Date added | 20 Oct 2003 |
| Topics | SEC Rule 17A-4 | ||
| Downloads | 869 | ||
As explored in this paper, D3P, Second Copy, and Escrow are three important - but separate - compliance issues addressed by SEC 17a-4. The Designated Third Party Requirement stipulated by SEC 17a-4 is an important aspect of the SEC's regulatory approach to ensuring access to broker-dealer electronic records. SEC recordkeeping requirements seek to protect investors and promote accountability and these objectives are advanced by having an independent Designated Third Party.
Did you find this white paper useful?
23 out of 50 users found this white paper useful
Related white papers
Email Archiving Solution for Ultimate .PST File Management
The enforcement of mailbox limits causes MS Exchange users to create their own local repositories using .PST files. Email archiving solves the problem of "too much information" and .PST files...
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...
Achieving Compliance and Strategy Execution Using Microsoft Office Business Scorecard Manager 2005
As they strive to achieve compliance while continuing to strengthen their competitive edge, more and more organizations are turning a keenly interested eye toward Business Performance Management (BPM). But with...
Addressing IT Compliance Challenges with Backup Archiving Technologies
This white paper from Osterman Research explains why backup and archiving should be central to your company's regulatory compliance efforts. It delves into the corporate governance issues that are driving...
Calculating the Value of Regulatory Compliance
In today’s increasingly regulated business environment, e-mail archiving has become a critically important IT function. Unfortunately, merely adding storage resources to your technology infrastructure won’t help you comply with the...
Identity Management: Easing the Cost of Compliance
This Ziff Davis white paper reveals some eye-opening statistics on just how much regulatory compliance is costing today's enterprises. While the cost of complying with the provisions of SOX, HIPAA,...
Realtime Publishers: Understanding how privacy and government regulations affect email compliance
Email compliance is just one instance of the regulatory impact on IT operations. There are a number of privacy and corporate governance regulations that apply to email services, and the...
