Ensuring FINRA Compliance in the Cloud with AdvisorVault
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AdvisorVault's 17a-4 Managed 365 Service Explained
AdvisorVault has introduced a revolutionary service known as the 17a-4 Managed 365 Service, designed specifically for small FINRA firms striving to achieve compliance on the Microsoft Cloud. Understanding the unique challenges that these firms face, AdvisorVault combines expertise in cybersecurity and data archiving to ensure a seamless transition to cloud compliance.
Why Choose AdvisorVault for Compliance?
Compliance is paramount in the financial industry. Many firms, even those already utilizing Microsoft 365, find themselves vulnerable due to gaps in complying with Rule 17a-4. With AdvisorVault, firms have the opportunity to engage with a provider that not only understands these regulations but also provides a solution that integrates effortlessly with their existing systems.
Comprehensive Migration Services
One key aspect of AdvisorVault's Managed 365 Service is the full migration process to Microsoft 365. This means that AdvisorVault will oversee the consolidation of in-house data, effectively transferring important records to 365. They will also ensure that user files from personal devices are moved to OneDrive, critical data stored on servers is transitioned to SharePoint, and all messaging systems are compliant with 17a-4 archiving requirements. The service is designed to minimize disruptions while maximizing compliance integrity.
Strong Cybersecurity Measures
Cybersecurity is a major concern for all businesses, especially in the finance sector. AdvisorVault applies robust, best-practice cybersecurity policies tailored to comply with FINRA standards. This includes monitoring for unusual sign-ins, suspicious activity in mailboxes, and ensuring that all shared company data is properly protected and logged. With proactive measures in place, firms in this program can feel secure against potential risks of audit failures.
Archiving and Record Retention Made Easy
The Managed 365 Service incorporates a cloud archiving plug-in that efficiently archives essential records off the Microsoft Cloud to ensure long-term compliance. Emails, OneDrive, SharePoint data, and Teams chats are preserved with extensive protections enabling firms to restore individual items easily. In addition, there is a supervisory interface that allows for thorough searches and auditing, making regulatory compliance less daunting.
A Trusted Partner in Compliance
What sets AdvisorVault apart is their status as a FINRA D3P. This ensures that clients receive the documentation and assurances needed under the regulatory framework. AdvisorVault issues 17a-4 storage notification letters and guarantees that firms’ records are preserved in a non-rewriteable format for the required retention period. This confidence and reassurance empower firms to focus on their core business activities without constantly worrying about compliance issues.
About AdvisorVault
AdvisorVault’s comprehensive approach to electronic recordkeeping, whether in-house or on the cloud, positions them as a vital service for financial institutions. Their offering stands out as the only fully compliant option available, ensuring that firms can operate with peace of mind.
Frequently Asked Questions
What is the 17a-4 Managed 365 Service?
This service helps small FINRA firms comply with regulations on the Microsoft Cloud, ensuring proper cybersecurity and data archiving.
Why is compliance important for FINRA firms?
Compliance safeguards firms against audits and legal issues while protecting clients' sensitive information.
How does AdvisorVault ensure cybersecurity?
AdvisorVault employs FINRA-level cybersecurity protocols, monitors suspicious activities, and provides incident recovery strategies.
What types of data does the cloud archiving include?
Data archived includes emails, Teams chats, and files from OneDrive and SharePoint, all designed to meet regulatory standards.
Who can benefit from the 17a-4 Managed 365 Service?
Small FINRA firms seeking compliance solutions on Microsoft Cloud will greatly benefit from this service.
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