Compliant WorkSpace

INTRODUCING THE 17A-4 COMPLIANT WORKSPACE FROM ADVISORVAULT

SMALL FINRA FIRMS NOW HAVE A CLEAR PATH TO THE CLOUD WITH ADVISORVAULT’S COMPLIANT WORKSPACE

AdvisorVault now offers the only 17a-4 Compliant WorkSpace. A full cloud solution powered by Office 365, designed specifically for small FINRA firms to move their whole office to the cloud.

INCLUDED WITH THE COMPLIANT WORKSPACE

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    HOSTING FOR ALL MICROSOFT CLOUD APPS: The Compliant WorkSpace is the only 17a-4 hosting for Exchange, SharePoint, OneDrive and Teams through AdvisorVault that’s automatically archived according to FINRA rules
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    ARCHIVING FOR THIRD PARTY SYSTEMS: Connectors for all major third-party apps including LinkedIn company pages, Twitter, Facebook, Instant Bloomberg, Bloomberg Message, Salesforce, Slack and Zoom meetings
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    EDISCOVERY AND AUDITING: eDiscovery and auditing to monitor Emails and data across SharePoint and OneDrive sites to identify non-compliant documents while sending notifications to compliance officers for ongoing audit/review
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    THREAT PROTECTION AND ENCRYPTION: By default, Office 365 does not meet the security demands of 17a-4, but with the Compliant WorkSpace FINRA firms are ensured the highest level of email protection with built in encryption
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    17a-4 D3P SERVICE: AdvisorVault is the only certified Microsoft cloud partner with the FINRA 17a-4 Designated Third Party (D3P) certification and can make Office 365 FINRA compliant
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    EXPERT ADVICE AND GUIDANCE: Small firms need a D3P that can guide them with the move to the Microsoft cloud, with AdvisorVault you get expert advice during this transition. Including domain and Exchange email setup with migration of in-house data to SharePoint and OneDrive

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