We’re Leading the Way in 17a-4 Data Compliance

Microsoft 365 Compliance

Is Rule 17a-4 Riddling You? Check Out AdvisorVault’s Unique Solution For Small FINRA Firms

Unfortunately, FINRA keeps changing the rules when it comes to data compliance, for instance, they just adopted an audit trail option supposedly helping meet the demands of SEC rule 17a-4. But an audit trail doesn’t make sense: the reality is, firms still need to assign a FINRA Designated Third Party (D3P) to archive data [...]

By |2024-04-30T14:54:23+00:00December 29th, 2023|Data Archiving for FINRA, Microsoft 365 Compliance|0 Comments

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 [...]

By |2024-01-16T22:20:49+00:00February 24th, 2023|Microsoft 365 Compliance|0 Comments

Thumbs Up For Allegiance Advisors! AdvisorVault Makes Their Microsoft 365 17a-4 Compliant

Allegiance Advisors, a FINRA registered broker-dealer in Jacksonville, Fla. Chooses AdvisorVault's Direct Cloud Plug-in to archive and retain their email, data and Teams chats stored on Microsoft 365. Our Direct 17a-4 Cloud Plug-in helps them today’s data compliance demands “We chose AdvisorVault’s 17a-4 Cloud Backup Plug-in because it was the only option allowing us [...]

By |2024-01-16T22:29:17+00:00December 2nd, 2022|Microsoft 365 Compliance|0 Comments
Go to Top