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SEC Books & Records and Document Management Compliance

AppCrown and FutureVault co-hosted an exclusive roundtable discussion for RIAs and Broker-Dealers looking to get ahead of the SEC and FINRA books and records compliance, including all things with respect to Rule 17a-4(a-f), the new marketing rule disclosures, best practices for archiving and evidencing critical communications, vendor due diligence records, and more. 

AN EXCLUSIVE WEBINAR HOSTED BY

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FutureVault

WEBINAR DETAILS

Topics

During this exclusively recorded webinar, FutureVault and AppCrown discussed the following:

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WEBINAR PANELISTS

Kristian Borghesan - FutureVault

Kristian Borghesan

Chief Marketing Officer (Moderator)
Daniel Kenny - CEO of FutureVault

Daniel Kenny

Chief Executive Officer (Panelist)
Franklin Tsung - AppCrown

Franklin Tsung

Growth Advisor (Panelist)
ACME Financial Digital Vault

ABOUT FUTUREVAULT

FutureVault is a market-leading provider of secure document vault and Personal Life Management Vault solutions offering an innovative, multi-tiered platform that enables firms, advisors, and clients/households to manage information better, together.

FutureVault's white-labeled web and mobile applications transform the way organizations manage, store, and deliver documents and statements, meet information security and compliance requirements, and drive material operational efficiencies across front, middle, and back-office functions through automated workflows and integrations.

FutureVault is recognized as a top 100 most innovative global WealthTech solution provider. 

FutureVault ACME Financial Digital Vault
AppCrown Salesforce

ABOUT APPCROWN

AppCrown delivers managed turnkey industry integrations into any enterprise (cloud-based) CRM system. Today, AppCrown is the pioneer and leader for managed turnkey industry integrations into Salesforce Financial Services Cloud (“FSC”) for wealth management & banking.

AppCrown integrates brings Industry Data to customers; integrating a firm’s data that resides in multiple applications, from back office systems to downstream independent vendors, into a single industry Cloud.

For Financial Services Cloud, this means the ability to seamlessly integrate back office systems, planning software, portfolio accounting systems, and portfolio analytics systems into a central industry cloud CRM. The integration of an entire financial services industry, within 24hrs of purchasing AppCrown’s Industry Data.

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