From venture capital to private equity, RIAs to broker-dealers, navigating SEC and FINRA regulations is fundamental to business operations. But as those firms know, just because regulatory compliance is required, doesn’t mean it’s easy.
Engage in a robust discussion with industry colleagues from SEC and FINRA-regulated firms as they reveal strategies they’ve employed to streamline adherence to industry regulations, using Egnyte to support these requirements.

In this session, you’ll learn:
• Key regulatory challenges faced by SEC and FINRA-regulated firms and how to mitigate them,
• Best practices for implementing robust compliance frameworks specific to each subindustry,
• How Egnyte supports seamless regulatory compliance for SEC and FINRA-registered firms.