Protection for all electronic records
When it comes to protecting their critical data to achieve compliance, most broker-dealers focus only on the email archiving process. However,  FINRA rules, in particular 17a-3 & 17a-4, lay out much broader requirements regarding the types of records that must be protected and kept over time.

With the expanded record keeping requirements now imposed on broker-dealers resulting from the newly imposed NYSE-NASD rule book consolidation beginning December 2008, a comprehensive solution is needed to protect the wide range of electronic records a broker-dealer maintains.

AdvisorVault protects the following data:

  1. All communications such as email, instant messaging and voice recordings
  2. Books and records contained in purchases and sales of securities, inter-office memoranda customer records and all other documents
  3. Word documents, spread sheets, databases, PDF files, and other day-to day user data created by staff
  4. System configuration and program files required for full recovery of severs and PCs

Broker-dealers will have the peace of mind know that have met all electronic record keeping requirement imposed on them as defined in todays data compliance legistation

Real-time system wide compliance
The AdvisorVault appliance takes  data protection to the next level by immediately and continually scanning the entire network at the broker-dealer site and seamlessly detecting all data across multiple systems – including emails, files, databases and all other critical applications on servers as well as PCs on the network.

Then using AdvisorVault’s advanced crawl technology, virtually any data such as emails, documents, spreadsheets, presentations, PDFs and systems states are automatically and securely sent to our remote data centre.

With AdvisorVault you can implement a unique solution that recognizes all of the data that needs to be protected across the entire operation. And best of all the system is completely managed by us so staff have nothing to do but focus on your business.

For a free assessment of your specific needs or to try our one-month trial offer contact us today