We recognize that organizations are under more and more pressure to meet greater regulatory demands and maintain ever-higher standards and that failure can result in time intensive investigations, information searches and potentially fines. With data and its diversity increasing we also understand that it’s getting harder to control.
At bluesource we help organizations more tightly control compliance, by better managing information and the processes that use it. Working with organizations that are heavily regulated in sectors such as finance and insurance we can provide invaluable insights into optimizing compliance solutions, specifically around Solvency 11, SEC, NASD, FCA, Sarbanes Oxley, Dodd-Frank and others.
- Comply with Financial Industry Regulatory Authority regulations for supervisory review of broker / dealer communications
- Set up sampling of communications and departmental barriers
- Comply with The Security and Exchange Commission’s Rule 17a-4 on storage of broker / dealer records
- Capture and Archive text messages, messaging platforms, and voicemails
Data Privacy & Compliance
Perform data subject/access requests, privileged deletions, and maintain proper retention of customer data
Comply with records retention laws, internal policies, and industry best practices
Managing Government Records
Government Agencies can comply with the
Managing Government Records Directive, including directly exporting to NARA-