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AdvisorVault is a completely managed third party service, and as a result nothing is required of a broker-dealer using the product - Technical and compliance staff simply receive automated email reports on the status of AdvisorVault`s data compliance operations.
Because we proactively monitor and manage all of our clients data compliance requirements, we are aware of any issues before our customers are – and will take the appropriate action. We are constantly aware of gaps in our customer`s data compliance procedures often before they are affected by them, and will respond in the event of:
- Failed backups,
- Missed archiving tasks
- Data loss or systems failures
- Disaster recovery tasks
- Auditors requests for electronic records
As a designated third party storage provider specifically for broker-dealer firms, AdvisorVault can be relied upon always make sure critical data is available during an audit. Upon request, current and historical data is immediately made available to help pass SEC audits successfully.
For a free assessment to determine how AdvisorVault can meet your data compliance requirements, experience one-month free use of the product.
Contact us today at 1-866-925-1941 or email us at info@advisorvault.org
842 Broadview Ave. Toronto, Ontario M4K 2R1
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