Office 365 And Financial Advisor Compliance

For investment advisors, compliance is a key consideration in almost every aspect of using Office 365. This session covers functions built into Office 365 that help advisors meet compliance requirements for email and stored documents. If you own an RIA, you want to attend this session, along with your CCO and COO to learn about strategies for email compliance, including:

• Journaling

• Legal Hold

• Archiving

• Auditing

• In-place E Discovery

• Retention policies and tags

• Data loss prevention

• Scanning for sensitive data

Office Training for Financial Advisors leverages Robert Clark’s unique abilities as a technology trainer and adds knowledge and tools from AdvisorsAdvisors to customize the training course to an independent advisor’s needs. Advisors taking this course will learn how to use Office 365 features while satisfying SEC and FINRA regulatory compliance rules. You’ll learn how to fulfill mission critical functions for internal and external communications in an RIA. 


This webinar is eligible for 1 live CPA CPE credit.