AdvisorVault is a turn-key product designed specifically to help broker-dealer firms achieve and maintain data compliance. The main component of the solution is an appliance installed at the broker-dealers office that includes all the hardware and software to remotely backup:
- Emails and other communications such as instant messaging and voice recordings
- Books and records
- Critical documents such as Word, Excel, PDFs, databases and other customized data
- Operating systems configuration data for full system recovery to bare metal
- All required records at remote/branch offices and travelling user's laptops
This data is securely transferred to the AdvisorVault remote data centre each night. We then ensure the proper archiving rules are in place to retain data for the required amount of years on non-rewritable disks. Lastly we make certain all data and systems will be made available in the event of a disaster, data loss, a minor system failure or an SEC audit.
The AdvisorVault appliance automatically keeps the broker-dealer`s internal compliance and IT staff aware of the current backup activities and long-term data archiving status. Weekly and monthly reports are performed and forwarded on to designated employees for review. And in the event of a data disruption AdvisorVault will become instantly aware of the situation – and notify you to let you know we are taking appropriate actions on behalf of your operations. With AdvisorVault, all your data compliance worries are over.
Going the extra mile is what AdvisorVault is about, we understand data compliance is complex and we supply the know-how for broker-dealers to complete all required functions such as documentation and procedures to ensure compliance is always maintained. We include the following features to ensure all the bases are covered - at no additional charge:
- Remote data protection for remote offices, home based and traveling users
- Templates for electronic storage media notification letters
- Business continuity planning templates
- Electronic workspace to store and access BCP documents during a disaster
- Compliance reviewer for books and records, emails and instant messaging
- Integration with the FINRA Small Firm Emergency Partner Program
For a free assessment of your specific needs or to try our one-month trial offer contact us today.
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