for small firms
AUTOMATED PROTECTION FOR DATA DISTRIBUTION
Properly retaining data contained in a firm’s books and records is the cornerstone of achieving rule 17a-4. The challenge now, particularly for small firms, is that these records are now spread out on servers at head office, branch locations, on laptops, mobile devices or the cloud. How does a firm out source to a provider who can automate the protection of all this data, so it is transferred to SEC compliant storage and make it centrally available to compliance officers and other key staff for review.
ADVISORVAULT ELIMINATES AUDIT STRESS
Ultimately, passing audits is the whole reason FINRA firms spend money on data compliance at all. Although small firms are given a great deal of flexibility in this area, they still rely heavily on third party providers to help them, AdvisorVault is the expert in this, particularly helping small FINRA firms with audits, or during an electronic records request.
AdvisorVault includes the tools to ensure regulators are out the door fast:
STEPS TO MAKING YOUR DATA COMPLIANT
Proper Data archiving can be complicated, that’s why AdvisorVault’s Turnkey solution takes the guess work out of it.