It can be hard to keep track of exactly what tools and technology you need to meet FINRA and SEC requirements. In this Connected Suite Supervision Policy Matrix, you can see exactly how the features and policy tools of the Connected Suite match up to the recordkeeping and supervision requirements of financial regulators. Not only does this handy reference guide provide a list of all policies within the Connected Suite, it also provides brief descriptions for each, relevant governing bodies, applicable regulations, key concerns, and a rundown of which industries are impacted by each policy.
Download the newly-updated Connected Suite Supervision Policies Matrix.
To learn more about the policies within the Smarsh Connected Suite, visit Smarsh Central.
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