Archiving isn’t just another recordkeeping task – it’s a core requirement of SEC Rule 204-2. Examiners expect firms to preserve and maintain every business communication – across every channel. As regulators intensify their focus on off-channel communications, the question is no longer if your firm should optimize its archiving framework, but how.
Join Comply’s Lydia Gabbard, Director of Managed Services, and Trent Lanning, Product Marketing Manager, for a practical discussion on building defensible, exam-ready archiving oversight.
What You’ll Learn
- The Rule Behind the Records – What the SEC requires under Rule 204-2 and how firms commonly interpret it
- Regulatory Best Practices – Where firms often fall short, and what examiners are really looking for
- Case Studies from Enforcement – Lessons from recent actions tied to recordkeeping failures
- Platform Optimization – How to fine-tune archiving with lexicon management and smart sampling strategies
- How AI Fits In – Insight into striking the right balance between automation and human judgement