AdvisorVault’s expertise in 17a-4 data archiving has joined forces with Compliant Workspace’s consolidated 365 Service® to provide FINRA firms with a fully compliant and secure solution for migrating onto Microsoft 365.
17a-4 broker-dealer compliance
17a-4 broker dealer FINRA Compliance
ST. PETERSBURG, Fla., March 16, 2023 (Newswire.com)
AdvisorVault, the experts in 17a-4 data archiving, partners with Compliant Workspace to help FINRA firms get on Microsoft 365.
Today, many FINRA firms want to move their operations to the Microsoft 365 Cloud but are worried how compliant they will be, specifically with rule 17a-4 and its email and data retention demands. They also need to meet FINRA’s cybersecurity requirements. Compliant Workspace is a perfect fit for them with its fully secured, fully protected solution out-of-the-box – AdvisorVault is happy to partner with them.
Microsoft 365 makes sense for FINRA firms, especially for smaller firms since it is a complete platform that gives employees everything needed to do their jobs. While it is a remarkable piece of technology, by default most cloud services are not 17a-4 compliant and won’t be able to provide the FINRA letters that your firm will need. So a special kind of D3P cloud provider is required; one that understands the unique compliance demands of firms such as broker-dealers.
“We designed Compliant Workspace specifically for companies needing a higher level of security and protection in the cloud; our Consolidated 365 Service has built-in features making FINRA firms immediately 17a-4 compliant when they migrate their office to Microsoft 365 with us. We are excited to partner with AdvisorVault,” says Patrick Lonz, President of Compliant Workspace.
About Compliant Workspace
Compliant Workspace is a leading Microsoft 365 provider giving firms a streamlined option to get onto the Microsoft Cloud. Their unique Consolidated 365 Service® includes everything they need to be compliant, right from the get-go.
AdvisorVault is the only FINRA D3P giving small firms everything they need to meet rule 17a-4. Our turn-key solution archives, retains, and provides supervision of electronic records stored in-house or in the cloud.
To learn how to get your firm on Microsoft 365 while remaining fully 17a-4 compliant: Contact us now