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CASE STUDY: Marketing Operations Meets Compliance

Posted by Paul Becker

Sep 12, 2016 7:55:36 PM


Business Problem

Our client is a financial services company that is regulated in part by the Financial Industry Regulatory Authority (FINRA). The company was fined millions of dollars for failing to retain a large number of securities-related electronic records in the required format, and for failing to retain certain categories of outgoing emails. They also did not have a reasonable supervisory system in place to achieve compliance with the Securities and Exchange Commission (SEC) and FINRA books and records rules, which contributed to its record-retention failures.


Read the entire case study.


Topics: Case Studies

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