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:
EMAIL ARCHIVING MADE EASY
Support for Microsoft 365 and Google Workspace