Information Archiving and Record Keeping
Comprehensive record keeping is the foundation of nearly all compliance requirements. Under CFTC, Dodd-Frank, FINRA, MiFID II, and SEC rules, records of activities and transactions must be kept for five to seven years.
The records that need to be archived under record keeping and books are wide-ranging and often require books and records to be stored in a tamper-proof, Write Once, Read Many (WORM) immutable format.