Summary: Email and electronic records archiving seems dull, but better record-keeping habits could save many firms a pretty penny. Regulators already have reprimanded firms about archiving emails, but social media posts and other electronic records are raising more compliance headaches for financial advisers — and may possibly become a source of more violations.
 There are so many difficult situations most organizations don't see coming and if you aren't protected and don't have everything archived, you can immediately lose a case. When something happens, it is really better to be proactive."Christina Bliss, head of global marketing, GWAVA |
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