finra rule 4511

4511 de règle FINRA (c) indique que « tous les livres et enregistrements devant être établis conformément aux règles FINRA doivent être conservés dans un format et des médias conformes à la règle 17A -4 de Sea (Securities Exchange Act). De plus, FINRA Rule 4511 (c) impose aux entreprises de conserver pendant au moins six ans les livres et enregistrements pour lesquels il n’existe pas de période de rétention spécifiée sous les règles FINRA ou maritimes applicables. File a complaint about fraud or unfair practices. Records stored must be tamper-proof with no ability to alter or delete them until after the designated retention period. To evaluate Azure compliance with FINRA Rule 4511(c), Microsoft retained an independent assessment firm that specializes in records management and information governance, Cohasset Associates. Le rapport obtenu, sec 17A -4 (f) & CFTC 1,31 (c-d) évaluation de la conformité : Microsoft Azure Storage, inclut la conformité Azure avec FINRA Rule 4511 (c), qui diffère des exigences de format et de média de la règle 17A -4 (f).The resulting report, SEC 17a-4(f) & CFTC 1.31 (c-d) Compliance Assessment: Microsoft Azure Storage, encompasses Azure compliance with FINRA Rule 4511(c), which defers to the format and media requirements of SEC Rule 17a-4(f). Dans le cas contraire, la période de rétention est de six ans après la création de ces livres et enregistrements.Otherwise, the retention period is for six years after such books and records are created. Les fournisseurs de logiciels et les partenaires avec des charges de travail sensibles peuvent désormais compter sur le stockage d’objets BLOB Azure inaltérables en tant que solution Cloud de magasin unique pour les enregistrements de rétention et de stockage non modifiable. SEC 17A -4 (f) & CFTC 1,31 (c-d) évaluation de la conformité d’Azure Storage, SEC 17a-4(f) & CFTC 1.31 (c-d) Compliance Assessment of Azure Storage, Archivage dans Office 365, rétention des données et conformité de la règle SEC 17A -4, Archiving in Office 365, data retention, and SEC Rule 17a-4 compliance, Services commerciaux cloud computing et services financiers Microsoft, Microsoft business cloud services and financial services, Conformité des services financiers dans Azure, Outil d’évaluation des risques dans le Cloud Azure Financial Services, Azure Financial Services Cloud Risk Assessment Tool, Stratégies de rétention de Microsoft Office 365, Conformité sur le site Microsoft Trust Center, autorité réglementaire de l’industrie financière (FINRA), Financial Industry Regulatory Authority (FINRA), sec 17A -4 (f) & CFTC 1,31 (c-d) évaluation de la conformité : Microsoft Azure Storage, SEC 17a-4(f) & CFTC 1.31 (c-d) Compliance Assessment: Microsoft Azure Storage, stockage d’objets BLOB Azure inaltérables, Programme de mise en conformité destiné au secteur des services financiers Microsoft, Microsoft Financial Services Compliance Program. Financial institutions can now build their own applications taking advantage of these features while remaining compliant. Les fonctionnalités de rétention de Microsoft 365 contribuent à conserver un large éventail de données, notamment la messagerie électronique, la messagerie vocale, les documents partagés, les messages instantanés et les données tierces.Retention features in Microsoft 365 help preserve a wide range of data, including email, voicemail, shared documents, instant messages, and third-party data. Financial services customers, representing one of the most heavily regulated industries in the world, are subject to complex provisions like the retention of financial transactions and related communication in a non-erasable and non-modifiable state. Pour évaluer la conformité Azure à l’aide de la règle FINRA 4511 (c), Microsoft a conservé une entreprise d’évaluation indépendante spécialisée dans la gestion des enregistrements et la gouvernance des informations, Cohasset Associates. Records stored must be tamper-proof with no ability to alter or …

4511 de règle FINRA (c) indique que « tous les livres et enregistrements devant être établis conformément aux règles FINRA doivent être conservés dans un format et des médias conformes à la règle 17A -4 de Sea (Securities Exchange Act). »FINRA Rule 4511(c) specifies that “all books and records required to be made pursuant to the FINRA rules shall be preserved in a format and media that complies with SEA (Securities Exchange Act) Rule 17a-4.”. Among them is Rule 4511 of the Financial Industry Regulatory Authority (FINRA) that stipulates stringent requirements for regulated entities that elect to retain books and records on electronic storage media. (c) All books and records required to be made pursuant to the FINRA rules shall be preserved in a format and media that complies with SEA Rule 17a-4. Les clients des services financiers, représentant l’un des secteurs les plus réglementés du monde, sont soumis à des dispositions complexes telles que la rétention des transactions financières et des communications associées dans un État non effaçable et non modifiable. Retention features in Microsoft 365 help preserve a wide range of data, including email, voicemail, shared documents, instant messages, and third-party data. Cohasset validée que le stockage d’objets BLOB Azure inaltérables avec l’option de verrouillage de stratégie, lorsqu’il est utilisé pour conserver les objets BLOB basés sur l’heure dans un format non effaçable et non réinscriptible (Worm), répond aux exigences de stockage FINRA pertinentes.Cohasset validated that Azure Immutable Blob Storage with the Policy Lock option, when used to retain time-based Blobs in a non-erasable and non-rewritable (WORM) format, meets relevant FINRA storage requirements. Les établissements financiers peuvent désormais créer leurs propres applications en tirant parti de ces fonctionnalités tout en restant conformes.Financial institutions can now build their own applications taking advantage of these features while remaining compliant. Adopted by SR-FINRA-2010-052 eff.

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