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

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 options firms today). I mean, at the end of the day, moving your company to the cloud is [...]

By |2023-01-27T14:30:32+00:00January 9th, 2023|17a-4 Compliance|0 Comments

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 firm such as a broker-dealer and the compliance officer, who, if they’ve done their homework, will need to fully understand [...]

By |2023-04-30T11:21:13+00:00December 20th, 2022|17a-4 Compliance|0 Comments

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 really important thing these days, especially if you’re a small FINRA firm with a limited budget and no in-house IT [...]

By |2023-05-26T00:17:20+00:00January 2nd, 2022|Data Archiving for FINRA|0 Comments
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