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Broker Dealers
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 [...]
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 [...]
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 [...]
Confused About FINRA Cybersecurity? Join The Club
Since we are a FINRA Designated Third Party (D3P) currently doing data archiving for customers, I decided to help firms with cybersecurity too. So naturally I downloaded FINRA’s Cybersecurity Checklist for Small Firms in [...]
Don’t Choose The Wrong Cloud Service For 17a-4 And Get Rained On
I’ve notice there’s lots of talk these days about data compliance and the cloud, specifically the problem surrounding the FINRA Designated Third-Party Provider or 17a-4 D3P. What I’m talking about here is a FINRA [...]
Hanging From A Tree And Scratching Your Head Thinking About Rule 17a-4?
Compliance officers end up feeling like they’re hanging from a tree, scratching their heads when it comes to FINRA rule 17a-4. Its complex and they need to also understand the technology behind it; at the [...]
Stop Being A Stooge. Understand Microsoft 365 And 17a-4 Before Making The Move
Since FINRA has given firms the green light to use the cloud, it’s important they understand how to make it 17a-4 compliant. Because compliance officers don’t want to be a Stooge if they go ahead [...]
“Just The Facts Ma’am” What You Need To Know About 17a-4 Cloud Compliance
An important thing I’ve learned working with small FINRA firms over the past 20 years is their need to continually find ways to keep technology spending as low as possible yet keep regulators happy, i.e., [...]
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 [...]
Feel Like A Kid With A New Toy, Check Out AdvisorVault’s Three Steps To Achieve 17a-4
Let’s go over three simple things you can do (I am talking to compliance officers now) that'll help your firm reduce tech spending while at the same time meet the demands of rule 17a-4: a [...]