Complex Mathematics

Compliance relics: the case against PDFs and screenshots



Screenshots and PDFs have long served as the fallback tools of digital recordkeeping. They’re easy to create, straightforward to file, and for a long time, they seemed “good enough.” But in today’s regulatory environment, where agencies like the SEC and FINRA are demanding complete, contextual, and verifiable records, “good enough” is quickly becoming a liability.

As communications become more dynamic and digital interactions more complex, static captures are increasingly out of step with the needs of modern compliance, and the expectations of U.S. regulators. Recent guidance and enforcement trends make it clear: partial records or flattened archives are no longer sufficient.



Source link


Discover more from cplexmath tech stop

Subscribe to get the latest posts sent to your email.

Discover more from cplexmath tech stop

Subscribe now to keep reading and get access to the full archive.

Continue reading