1f. BD LAB – Best Practices for Records Management (Advanced)

The SEC amended Rule 17a-4 on October 12, 2022, to modify the requirements regarding the maintenance and preservation of electronic records.  Regulatory findings continue to drive significant penalties and firms can expect exam focus on books and records in the coming year.  This session provides compliance and legal professionals guidance on testing firm processes, procedures and systems relating to records creation, retention, and supervision.  This session is closed to both regulators and members of the press.

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