Regulate Your FINRA 17a-4 Data Compliance With AdvisorVault

Plugging 17a-4 Data Compliance Holes with FINRA Registered D3P AdvisorVault

A small FINRA registered firm was facing significant challenges with their technology infrastructure and data compliance framework. Recognizing the potential gaps in their compliance efforts, including an end-of-life Windows server, ineffective file syncing processes using ShareFile and an outdated email service from Intermedia, they went looking for a comprehensive solution that would not only transition their firm to Microsoft 365 but also ensure adherence to 17a-4 regulations. Their search led them to AdvisorVault and their Consolidated 17a-4 D3P service. 

AdvisorVault CEO Allan Lonz explained the migration toward 365 for FINRA firms: "With the Consolidated 17a-4 D3P service, AdvisorVault can quickly pinpoint and address multiple compliance gaps for FINRA registered clients simultaneously. When migrating firms onto Microsoft 365, we provided a compliant archiving plug-in that automatically safeguards all of the pertinent cloud-stored data. This enables tech confused FINRA firms to retire old servers while giving them the ability to leverage Exchange Online + SharePoint for enhanced collaboration and efficiency." 

Smaller FINRA firms often find themselves grappling with older overlapping technology and software systems, leading to holes in company data management and compliance, unbeknownst to management. Recognizing this common struggle among firms, AdvisorVault specializes in providing comprehensive solutions that smooth the transition to Microsoft 365 while ensuring strict 17a-4 compliance, effectively resolving the technology-related challenges faced by small firms. 

Unique Advantages Of AdvisorVaults 17a-4 D3P Service:

The advantages of AdvisorVault's D3P data storage service extend far beyond technology and compliance. Small firms no longer need to rely on multiple providers or grapple with disjointed technology systems. Moreover, AdvisorVault's Consolidated 17a-4 D3P service offers significant cost and time savings for FINRA firms. When transitioning to Microsoft 365, firms reduce their reliance for on-premises infrastructure, while minimizing hardware and maintenance costs. The quick migration process and in-depth technical support offered by AdvisorVault allow firms to optimize their resources and allocate more time to strategic initiatives that can drive growth and profitability. 

The success stories of AdvisorVault clients serve as a testament to the value an expert FINRA D3P can bring to firms in the financial services industry. By partnering with AdvisorVault, firms not only address their immediate technology and compliance problems; they also gain a long-term competitive advantage. This consolidation of data management and compliance within a single comprehensive solution 1. simplifies operations 2. reduces complexities and 3. ensures seamless regulatory compliance for any FINRA registered firm. 

About AdvisorVault: 

AdvisorVault is a leading provider of comprehensive solutions designed specifically for FINRA-regulated firms. Bringing expertise, a customer-centric approach, and a commitment to technology and compliance standards, AdvisorVault is a trusted partner for firms navigating the complexities of the financial services industry.  

To learn more about AdvisorVault and their Consolidated 17a-4 D3P service, visit or call toll-free at 1-866-732-1407 to schedule a demo. 

Source: AdvisorVault