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

Send Your Compliance Consultants Packing: AdvisorVault’s Comprehensive 17a-4 Solution 

Are you tired of pouring money into expensive compliance consultants and never-ending compliance costs? Send your compliance consultants packing this summer when you take advantage of AdvisorVault's Comprehensive D3P 17a-4 solution. In the fast-paced world of FINRA regulated financial services, data compliance is a critical aspect of running a successful business. Ensuring adherence [...]

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. [...]

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 [...]

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 attempts to get some guidance, boy was I disappointed, and surely I’m not alone. I mean if you’re a small [...]

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 same time, few have the expertise to fully grasp it. However, the best way to approach 17a-4 (especially if you’re [...]

By |2023-05-26T01:04:26+00:00December 2nd, 2022|17a-4 Compliance|1 Comment

“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., pass the 17a-4 electronic records request. It’s not a simple task since there are lots of ways to store data, [...]

By |2023-05-12T12:47:01+00:00December 2nd, 2022|17a-4 Compliance|0 Comments
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