AdvisorVault Adds Social Media Archiving to its Consolidated 17a-4 D3P Service
Our Consolidated D3P is a unique turn-key solution for firms meeting compliance now includes social media archiving. […]
Case Studies on AdvisorVault & Compliant Workspace – The Only FINRA 17a-4 D3P Bundling Microsoft 365 Into their Service
Compliant Workspace Case Studies: Noticing our smaller customers were […]
Let’s Party! AdvisorVault’s Now A Managed 365 Cloud Provider Able To Get FINRA Firms 17a-4 Compliant On The Microsoft Cloud
Time to party. AdvisorVault’s 17a-4 Managed 365 Service gets […]
Finally, FINRA’s Happy – AdvisorVault Now Makes Amazon 17a-4 Compliant
FINRA firms, especially broker-dealers want to use Amazon Web Services (AWS) to store trade & transaction data for their business applications, but there's no clear answers if it’ll meet the long-term retention demands of 17a-4 and firms are afraid to take advantage of it. However, AdvisorVault has solved the problem with fours steps to [...]
Adding FINRA’s Custodian Feature Is A Walk In The Park For AdvisorVault
AdvisorVault now includes the custodian feature with its Consolidated FINRA D3P (designated third party) service: giving added protection for our withdrawing firms, but essentially adding the Custodian for customers was a walk in the park - I talk about it in this blog. One 17a-4 Provider for Small FINRA Firms I’ve [...]
Me & My Tech Guru Talk About FINRA’s New Audit Trail Option
FINRA changed rule 17a-4 last year, adding an audit trail option (supposedly attempting to ease the pain of WORM disk). I honestly don’t know how an audit trail will help my customers meet data compliance, so I decided to setup a lunch with my tech guru last week to pick his brain - I [...]
Are FINRA’s New Compliance Rules Keeping You Up At Night?
Being up to date with regulatory changes is a major challenge when you're operating under the jurisdiction of the Financial Industry Regulatory Authority (FINRA). Especially trying to comply with their constantly evolving requirements - take the recent updates to rule 17a-4 for example; they present significant challenges for small broker-dealer firms with limited I.T. [...]
Ride The New Wave In 17a-4 Compliance With AdvisorVault & Compliant Workspace
It is not often that you hear the word “exciting” next to “Electronic data archiving” or “Broker-Dealer compliance”. Yet with the announcement of our new company partnership between AdvisorVault & Compliant Workspace, it is safe to say that the data compliance industry is being revolutionized for broker-dealers & FINRA compliant firms around the globe. You [...]
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; I suspect it’s the big IT vendors trying to up-sell us (you know who I'm talking about) but the problem is no one is coming [...]
We’ll have you Grinning Ear to Ear With Our Direct 17a-4 Cloud Plug-in
AdvisorVault's 17a-4 Cloud Backup Plug-in will make you purr like a kitten; it’s a game changer when you need to be compliant on the cloud, I am talking about Google Workspace and Microsoft 365 (the only two real options firms today). I mean, at the end of the day, moving your company to the [...]
