Purpose
Test whether your firm maintains applicable books and records in an accessible location for the specified retention periods as required under ________.
Regulatory Resource(s)
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Tools
sample electronic folder and file naming protocol
sample recordkeeping policy and procedures
Application
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Format
Excel, Word
TO PURCHASE
- Email products@regroupllc.com; subject: Order Request or fill out the form below.
- Provide your name, title, email address, firm name, firm mailing address, and telephone number.
- Provide similar information for you billing contact if different (we will address and email the invoice to your billing contact).
- List the product(s) you wish to purchase.
- We will send an order confirmation for your records along with our Terms of Service agreement for your execution.
- Upon receipt of payment and an executed Terms of Service, we will deliver the product(s) via email or file exchange server.
LIMITATIONS
We built these tools knowing one size does not fill all firms—so you can tailor the final product to reflect your particular business, products, and client base. When you use our products, you agree to the Terms of Service provided at the time of purchase and understand that ReGroup’s products do not constitute advice or guidance, legal or otherwise, nor do they create a "safe harbor" with respect to federal or state securities laws or other applicable federal or state regulatory requirements.
QUESTIONS?
If you have any questions, feel free to call 415-681-2230 or email products@regroupllc.com.