Email ARCHIVING

Specially designed
for small firms

Helping firms TAKE CONTROL OF email COMPLIANCE

The majority of fines handed out these days by FINRA are failure to properly supervise communications. The main reason is firms want to take advantage of new technology; they want to use mobile devices, social medial and cloud based messaging to communicate with partners and customers. Because of this they often lose control of the whole process. Now, a new approach is needed to make sure all these new ways of communicating are kept compliant.

ADVANCED SOLUTION OF MESSAGING COMPLIANCE

 

Since FINRA has given firms the green light to use the cloud, it’s important to understand how to make it 17a-4 compliant. Because compliance officers don’t want to get caught with their pants down.

 

Especially when a regulator comes in for the electronic records request and can’t download a sample data set from the cloud. (Which by the way is what FINRA does during the 17a-4 electronic records request: ask for a sample set of data from the firm’s archive going back up to seven years.)

AdvisorVault includes the tools to ensure regulators are out the door fast:

SINGLE CONSOLIDATED SIGN IN

AUTOMATED REPORTS & ALERTS

FULLY INDEXED & SEARCHABLE

DOWNLOADABLE ARCHIVED DATA

EMAIL ARCHIVING MADE EASY

 

Support for Microsoft 365 and Google Workspace

Let’s work together

GET A FREE DEMO TODAY AND “Be Compliant with FINRA  Using our our Consolidated 17a-4 D3P Service