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Broker-dealers need special attention, especially from the firm they have chosen as their designated third partly storage vendor. They need to be relied upon for recovery of critical data, for retrieval of archived records, to supply auditors with required data during an audit and to quickly restore data in the event of a major or minor business disruption. AdvisorVault understands this and goes further than any storage company to ensure total data compliance is reached. With AdvisorVault you can be confident that all the record keeping requirements are achieved according to 17a-3 and 17a-4. We can also act as Designated Third Party (D3P 17a-4(f)(3) (vii), Second Copy and Escrow as per 17a-4 (f) (3) (vi).
Because AdvisorVault is completely hands-off and managed by our staff, broker-dealers don’t need to supervise the solution. All updates, monitoring and maintenance are performed by AdvisorVault remotely. This proactive approach gives us notice before issues occur and they can be rectified without intervention from staff at the broker-dealer`s office.
Designated third partly storage vendors assigned to a broker-dealer firms have a special role and must take extra steps to ensure total data protection as well as the ability to restore current and archived data in the event of data corruption, deletion, disaster or during an SEC audit. AdvisorVault understands these challenges and can prepare data restoration from many different kinds of media. As part of AdvisorVault`s promise, data can be made available and at any time in these ways:
- Directly through the Internet from our data centre
- From local disk set for the local storage backup option
- On non-re-writable DVD/CDs
- Removable hard disk
AdvisorVault can be contacted for immediate and direct shipment of data during an audit or in the event of a minor or major disruption,
Email:
info@advisorvault.org
Sales:
1-866-925-1941 ext. 1
Techsupport:
1-866-925-1941 ext. 2
Accounting:
1-866-925-1941 ext. 3
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