Financial Services Compliance

FINRA (or the Financial Industry Regulatory Authority) details the policies members must follow along with the information they have to collect, maintain, and protect. FINRA sets standards to protect investors and the overall market, enforcing compliance with various rules and rule boards. The rules are meant to give regulators and investors quick access to information to protect investors and stakeholders’ information along with their interests. There are many different requirements aimed at ensuring books and records are maintained and kept secure while allowing quick access for review. FileCloud helps meet FINRA requirements by providing a storage and sharing tool that allows for customized permissions, restrictions on removal/editing of data and documents, and security settings that protect FINRA information (as defined by FINRA and SEC regulations), including when data is accessed, transferred, or stored.

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