Books & Records

Office 365 For Advisor Compliance

RIA Fires Google Apps After Google Notifies Advisor Of A 15-Month Failure In Gmail's Archiving System; Gmail Archiver Accidentally Deleted Messages It Was Supposed To Retain

Registered Reps With Their Own Independent RIA Must Keep Their Own Email And Social Media Archives In Addition To Their Broker-Dealer's Records

Ernst & Young Survey Discloses Willingness Of CFOs To Take Bribes

Disputes Over Axys Performance Numbers No Excuse For Fudging Client Reports, SEC Says