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We specialize in Records Management
It's not just email. While many of the largest
penalties have arisen from failure to produce emails, the key regulations
(especially SEC rules 17a-3 and 17a-4) require broker-dealers to create
and retain a wide range of business records, including trading details,
ledgers, agreements, personnel data, and much more.
Parallax has detailed knowledge of the records retention rules and practical
experience building retention schedules and electronic records management
systems to protect your online data using WORM (Write-Once, Read-Many)
storage technology.
Below is a list of services Parallax offers. Contact
us for an assessment.
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Records Management, Email
Retention, 3rd Party Access |
- Records Management and Retention
- Review record retention practices against current regulations
- Advise on best practices
- Develop custom technology solutions to address issues in
search & retrieval
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- Email Management
- Affordable Retention & Surveillance systems for firms
of all sizes
- Ongoing monitoring services
- 3rd Party Access
- Parallax can fulfill your firm's regulatory obligation to
provide a 3rd party with access to your data
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| Technology Strategy |
- Evaluate and recommend technology solutions to fit your firm's
needs and budget
- Buy vs. Build analysis
- Vendor Management
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- Help align technology infrastructure to compliance goals, always
keeping costs under control
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| Compliance Program Operations |
- Anti-Money Laundering
- Compliance Procedures Manual - Draft or Review
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- Broker-Dealer Registration
- Employee Compliance Training
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©2010 Parallax Prods., Inc.
All Rights Reserved
info@parallaxweb.com | 212.229.1884
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