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General Compliance Guidelines• You must be able to retrieve records on demand.
• Images and data must be stored on acceptable media.
• You must maintain your records in an unalterable format.
A culture of compliance encourages observance of the law by promoting a positive attitude toward compliance activities throughout your firm. It is reflected in people proactively seeking to understand and act in compliance with legal obligations affecting their work.
The United States Securities and Exchange
Commission (SEC) has primary responsibility
for enforcing federal securities laws and regulating
the securities industry and the stock
market. The SEC was created by Section 4 of
the Securities Exchange Act of 1934, commonly
referred to as the 1934 Act. In addition to the
1934 Act that created it, the SEC enforces the
Securities Act of 1933, the Trust Indenture Act
of 1939, the Investment Company Act of 1940,
the Investment Advisers Act of 1940, the
Sarbanes-Oxley Act of 2002 and other statutes.
The following is an outline of the project we completed for the HR department of a media company in NY.
The project started with a scanning service scanning all of their existing HR files, organized by employee name. We built out a complete folder structure for easy records management in accordance with HR policies. Next we created security groups to ensure confidentiality and limit access, such as Payroll, HR, HR with limited Payroll access, and vice versa.
1. You have paper files overflowing on desks and in bankers boxes on the floor
Every organization, at one time or another, gets overwhelmed with paper files. The danger in keeping a stack on your desk is they can be knocked over, lost, or easily misplaced. Suggestion: Get them scanned and filed in Laserfiche
