White Papers for Sarbanes-Oxley (SOX)

Email and IM Prep for your Next Regulatory Audit

MindShift

Being the target of an SEC audit can be a stressful experience, even for investment firms with impeccable track
records. Do you have the systems and resources in place to avoid potential negative outcomes, such as a deficiency letter or sanction?
When you have an examination, you must be able to demonstrate compliance with all of your firm’s electronic
communications, including your messaging applications. A few straightforward, proactive strategies will set the stage for a successful examination, audit, inquiry, or discovery – minimizing stress, decreasing the amount of time spent, and limiting your organization’s exposure as much as possible.

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