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What does a Cloud Provider need to be a FINRA D3P?

I’ve notice there’s lots of talk these days about 17a-4 and choosing a cloud provider. Specifically, the problem surrounding the Designated Third-Party Provider or the 17a-4 D3P. For example,

Brighton Park Capital Chooses AdvisorVault for 17a-4 Compliant Cloud Storage

“We went ahead with AdvisorVault to archive our Google Team drives to ensure compliance with 17a-4 so that our employees can use it to collaborate compliantly. Additionally,

AdvisorVault Revolutionizes 17a-4 Archiving for Small FINRA firms

AdvisorVault’s new features are a game changer for small FINRA firms who want to use the cloud but are worried about 17a-4. With our unique

The following guides have been created by AdvisorVault to help firms understand today’s demands surrounding data compliance, they are particularly help to small FINRA firms when designing their strategy around electronic records backup and and archiving to achieve SEC rule 17a-4.

COMPLIANCE RESOURCES

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