Data
Compliance
AdvisorVault has reinvented the way small FINRA firms look at data compliance. With our unique turn-key approach, we have created the only solution designed specifically to help banks, broker dealers, hedge funds, investment advisors, and private equity firms outsource the archiving and supervision of electronic records as required by SEC rule 17a-4.
Approved by FINRA
100%
Firms passed audit
Data retained
100%
17a-4 electronic records
DATA ARCHIVING
Data Archiving is the first step in achieving SEC rule 17a-4: A comprehensive remote archiving strategy covers several key areas to ensure complete compliance.
EMAIL ARCHIVING
The proper retention of email is also a key component of rule 17a-4. Today the challenge is making sure communications from everyone, everywhere is properly retained.
THE D3P
Assigning the D3P is the last step to accomplishing 17a-4, choosing AdvisorVault is a natural fit because we also manage the entire data archiving process for our customers.
OUR PARTNERS & ASSOCIATES
“The way AdvisorVault approaches data backup and archiving, we replace our current backup solution fully with them to recover servers from failure We couldn’t be happier with their service.”
“As soon as we received FINRA approval of our BD registration, we launched AdvisorVault, they told us exactly how we should move forward with our data archiving to meet the D3P requirements“
“AdvisorVault was at the top of the list when we looked at our entire disaster recovery/compliance/archiving/anti-spam platform and vendors…we eventually consolidated everything with them”
“Once we look a close look at AdvisorVault, we immediately engaged them for our data and email archiving. Additionally, they hosted a full Exchange email solution for records retention and supervision”
“AdvisorVault was simple! They even helped us with the FINRA 17a-4 attestation letters; we immediately scrapped whatever we’ve backed up so far with our other provider and started with them”
Featured Articles
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Don’t Hop In Bed With The Wrong Data Compliance Experts!
I’ve noticed lots of confusion these days about data compliance, I don’t know whose fault it is – could be the regulators, or the compliance officers, could be the consultants; […]