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
SUCCESS STORIES
“As soon as we received FINRA approval of our BD registration, we launched AdvisorVault, they told us exactly how we should move forward with our data archiving tomeet the D3P requirements”
Kevin Smith, President, Seedchange Execution Services Inc.
“The way AdvisorVault approaches data backup and archiving, we replace our current backup solution fully with them torecover servers from failure”
George Loukin, Infrastructure Manager, Autonomous Research
“AdvisorVault was at the top of the list when we looked at our entire disaster recovery/compliance/archiving/anti-spam platform and vendors…we eventuallyconsolidated everything with them”
Bennett Cole, President, FalconBridge Capital Markets, LLC
“Once we look a close look at AdvisorVault, we immediately engaged them for our data and email archiving. Additionally, they hosted a fullExchange email solution for records retention and supervision”
Lindsay Wall, Managing Director & Partner, Longhouse Capital Advisors
“AdvisorVault was simple! They even helped us with the FINRA 17a-4 attestation letters; we immediately scrapped whatever we’ve backed up so far with our other provider andstarted with them”
Michael J. Dugan, Chief Financial Officer DriveWealth, LLC
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DATA COMPLIANCE
MADE EASY
AdvisorVault has reinvented the way small FINRA firms look at data compliance
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DATA ARCHIVING