Top three issues facing legal counsel, CIO policy challenges and intelligent collection
Focus, we say let’s focus on your industry and what we know can be destroyed. Each client carries different requirements and regulations. For example, the Financial Services industry is regulated by the Securities and Exchange Commission (SEC). The SEC establishes rules for all financial services companies’ business and communication process. In 2000 they required all financial services companies to retain communications between broker-dealers under the 17a-4 for a period of seven (7) years.