Protect Communication History - Introduction

Protect Communication History - Introduction

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The link for this help topic is:

The Protect Communication History feature enables an organization to

preserve a record of client communications, documents and notes in SmartOffice.

It restricts the ability of users in the office to modify and delete this

data after the data is created.

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A primary use of Protect Communication History is to help firms archive

their records to comply with Securities and Exchange Commission (SEC)

rules regarding record keeping, including rules for storing data on non-rewriteable

media (also known as "write once, read many," or WORM, media).

For more information about the relevant SEC rules, see the following:

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§ 240.17a-3:

Records to be made by certain exchange members, brokers and dealers.

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§ 240.17a-4:

Records to be preserved by certain exchange members, brokers and dealers.

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§ 270.31a-2:

Records to be preserved by registered investment companies, certain

majority-owned subsidiaries thereof, and other persons having transactions

with registered investment companies.

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§ 275.204-2:

Books and records to be maintained by investment advisers.

Note: It is up to the user

to prove that SmartOffice meets the regulations stipulated by the SEC.

Click a topic below for more information:

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Setup

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Contacts

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[Correspondence

and Documents](/help/pro/protect/communication/history/-/correspondence/and/documents)

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[SmartPad

Notes](/help/pro/protect/communication/history/-/smartpad/notes)

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