Regulatory Compliance
Through the years’ rules and regulations surrounding recordkeeping have changed and become more stringent. Now more and more industries find that they must comply with federal, state, or local requirements for maintaining their books and electronic records. For over 20 years, Patrina’s skilled team has helped many businesses navigate the choppy waters of recordkeeping and compliant records archiving. No matter your industry or your electronic record keeping obligations, Patrina can provide your business a solution that will keep you in compliance and make you more efficient.
Patrina’s solutions are ideal for meeting the following recordkeeping requirements:
Broker Dealers
- SEC 17a-3 - Records to be made by certain Exchange Members, Brokers and Dealers.
- SEC 17a-4 - Records to be preserved by certain Exchange Members, Brokers and Dealers.
- FINRA 4511 - General requirements books and records.
- FINRA 3100 - Supervision.
- Supervisory Systems
- Written Procedures
- Internal Inspections
- Supervision
- Customer Complaints
- Transaction Review and Investigation
- Investigate applicants for registration
Investment Advisors
- 17 CFR 275.204-2 - Books and records to be maintained by Investment Advisors.
Commodity Futures and Swaps
- 17 CFR 1.31 - General books and records; keeping and inspection for registered firms.
- 17 CFR 1.35 - Records of commodity interest and related cash or forward transactions (FCM, FX, IB, SEF, DCM)
- 17 CFR 4.23 - Record requirements – Commodity Pool operator.
- 17 CFR 4.33 - Record requirements- Commodity Trading Advisors.
- 17 CFR 23.201 - Record requirements- Swap Dealer and Major Swap Participant.
- 17 CFR 23.202 - Daily trade records – Swap Dealer and Major Swap Participant.
- 17 CFR 23.203 - Records; retention and inspection – Swap Dealer and Major Swap Participant.
- 17 CFR 45.2 - Recordkeeping and reporting – SEF, DCM, DCO, Swap Dealer and Major Swap Participant.
IIROC
- IIROC Rule 29 - Business conduct
- IIROC Rule 38 -Compliance and supervision.
- IIROC Rule 3100 - Reporting and recordkeeping requirements.
Miscellaneous Regulations
- Sabanes-Oxley Act - Retention of records relevant to audits and review
- FRCP #26 -Rules for any organization with the potential for involvement in litigation within the US Federal Court System are effected.
- FERC Regulations 18 CFR Part 35 - Requirements for an electronic data retention policy for Public Utilities, Natural Gas Companies, Electric Producers, Gas & Oil Production and Training.
- FERC Regulations 18 CFR Part 284 -Requirements for an electronic data retention policy for Public Utilities, Natural Gas Companies, Electric Producers, Gas & Oil Production and Training.
