Supervision & Compliance Rules

Compliance Regulations and Laws

Let us save you time and money. Our supervision and reporting applications are designed to increase your productivity so you can do your job without the worry. Our one incredible (and comprehensive) platform automates many compliance tasks for you. Also our user interface is super easy to use.

With our innovative supervision tools you can:

• Easily review flagged content
• View message access, reviews, comments and more
• Create reports for all users
• Export data in PST or EML format for audit requests
• Create policies that exclude certain content
• Limit auditors to “view only” access during examinations to reduce time
• Search, retrieve and supervise hyperlinked and 3rd party content

For product questions, to get a demo, or to learn more about Erado’s Compliance Platform and how it can help your organization, contact our sales team.

Call: 866-673-7236 & press option 1

Click on the section that applies to your business.

Financial Services (all)
Broker Dealer
Registered Investment Advisors
Private Equity & Hedge Funds
Banks and Credit Unions
Mortgage Brokers
Energy
Education
Government & The Private Sector
Healthcare

Financial Services (all)

Click on the rule below to learn more.

• MIFID Article 51(3)
• SEC Rule 17a-3: Records to be Made by Certain Exchange Members
• SEC Rule 17a-4: Records Preservation
• Financial Conduct Authority (FCA): Social Media and Customer Communications Guidance
• Financial Conduct Authority (FCA) Conduct of Business Sourcebook
• FINRA Regulatory Notice 07-59
• FINRA Regulatory Notice 10-06
• FINRA Regulatory Notice 10-59
• FINRA Regulatory Notice 11-32
• FINRA Regulatory Notice 11-39
• FINRA Regulatory Notice 12-29
• FINRA Rule 4511
• FINRA Rule 8210
• NASD 3010 – Supervision of Sales Activities
• NYSE 472 – Communications with the Public
• FSA Conduct of Business Rules (Rule 5.54 & Appendix 18)
• Gramm-Leach-Bliley Act (GLBA)
• IIROC Regulatory Notice 11-0349
• Investment Company Act of 1940
• Investment Dealers Association of Canada (IDA 29.7)
• IRS Rev Proc 97-22 (Books & Records; Electronic Storage; Imaging)
• Dodd-Frank Wall Street Reform and Consumer Protection Act
• Massachusetts Data Breach Law
• National Instrument 31-103 (NI 31-103)
• Regulation S-P
• Sarbanes-Oxley Act of 2002 (SOX)
• FINRA 2210 – Communications with the Public
• FINRA 2310 – Recommendations to Customers (Suitability)
• FINRA 3110 – Supervision & Supervisory Control System
• FINRA 3120 – Supervision & Supervisory Control System
• 17 CFR Part 45 – Commodity Futures Trading Commission (CFTC) Rule
• Federal Financial Institutions Examination Council (FFIEC) Guidance on Social Media
• 17 CFP 1.31 – Commodity Futures Trading Commission (CFTC) Rule 1.31

Broker Dealer

Click on the rule below to learn more.

• MIFID Article 51(3)
• SEC Rule 17a-3: Records to be Made by Certain Exchange Members
• SEC Rule 17a-4: Records Preservation
• Financial Conduct Authority (FCA): Social Media and Customer Communications Guidance
• Financial Conduct Authority (FCA) Conduct of Business Sourcebook
• FINRA Regulatory Notice 07-59
• FINRA Regulatory Notice 10-06
• FINRA Regulatory Notice 10-59
• FINRA Regulatory Notice 11-32
• FINRA Regulatory Notice 11-39
• FINRA Regulatory Notice 12-29
• FINRA Rule 4511
• FINRA Rule 8210
• NASD 3010 – Supervision of Sales Activities
• NYSE 472 – Communications with the Public
• Gramm-Leach-Bliley Act (GLBA)
• IIROC Regulatory Notice 11-0349
• Investment Company Act of 1940
• Investment Dealers Association of Canada (IDA 29.7)
• IRS Rev Proc 97-22 (Books & Records; Electronic Storage; Imaging)
• Massachusetts Data Breach Law
• National Instrument 31-103 (NI 31-103)
• Regulation S-P
• Sarbanes-Oxley Act of 2002 (SOX)
• FINRA 2210 – Communications with the Public
• FINRA 2310 – Recommendations to Customers (Suitability)
• FINRA 3110 – Supervision & Supervisory Control System
• FINRA 3120 – Supervision & Supervisory Control System

Registered Investment Advisors

Click on the rule below to learn more.

• SEC Rule 17a-3: Records to be Made by Certain Exchange Members
• SEC Rule 17a-4: Records Preservation
• Gramm-Leach-Bliley Act (GLBA)
• Investment Company Act of 1940
• Investment Dealers Association of Canada (IDA 29.7)
• IRS Rev Proc 97-22 (Books & Records; Electronic Storage; Imaging)
• National Instrument 31-103 (NI 31-103)
• Regulation S-P
• Sarbanes-Oxley Act of 2002 (SOX)

Private Equity & Hedge Funds

Click on the rule below to learn more.

• SEC Rule 17a-3: Records to be Made by Certain Exchange Members
• SEC Rule 17a-4: Records Preservation
• Gramm-Leach-Bliley Act (GLBA)
• IRS Rev Proc 97-22 (Books & Records; Electronic Storage; Imaging)
• Regulation S-P
• Sarbanes-Oxley Act of 2002 (SOX)

Banks and Credit Unions

Click on the rule below to learn more.

• SEC Rule 17a-3: Records to be Made by Certain Exchange Members
• SEC Rule 17a-4: Records Preservation
• Gramm-Leach-Bliley Act (GLBA)
• IRS Rev Proc 97-22 (Books & Records; Electronic Storage; Imaging)
• Dodd-Frank Wall Street Reform and Consumer Protection Act
• Massachusetts Data Breach Law
• Regulation S-P
• Sarbanes-Oxley Act of 2002 (SOX)
• Federal Financial Institutions Examination Council (FFIEC) Guidance on Social Media

Mortgage Brokers

Click on the rule below to learn more.

• SEC Rule 17a-3: Records to be Made by Certain Exchange Members
• SEC Rule 17a-4: Records Preservation
• Gramm-Leach-Bliley Act (GLBA)
• IRS Rev Proc 97-22 (Books & Records; Electronic Storage; Imaging)
• Massachusetts Data Breach Law
• Regulation S-P
• Sarbanes-Oxley Act of 2002 (SOX)
• Federal Financial Institutions Examination Council (FFIEC) Guidance on Social Media

Energy

Click on the rule below to learn more.

• IRS Rev Proc 97-22 (Books & Records; Electronic Storage; Imaging)

Education

Click on the rule below to learn more.

• IRS Rev Proc 97-22 (Books & Records; Electronic Storage; Imaging)
• Massachusetts Data Breach Law

Government & The Private Sector

Click on the rule below to learn more.

• IRS Rev Proc 97-22 (Books & Records; Electronic Storage; Imaging)
• Massachusetts Data Breach Law

Healthcare

Click on the rule below to learn more.

• IRS Rev Proc 97-22 (Books & Records; Electronic Storage; Imaging)
• Massachusetts Data Breach Law

* Erado assumes no liability for the accuracy or completeness of this information. Please consult with an attorney for information on specific rules and regulations and how they apply to your business.