Trending...
- Psychologist-Turned-Hermeticist Releases Modern Guide to the Seven Hermetic Principles
- Spartan & Guardians Partner with Guitar Legend Buckethead to Support Global Child Rescue Efforts
- Preliminary.online Introduces Short-Term Job-Readiness Courses with Employer-Verified Certifications
AdvisorVault is now a certified Microsoft partner able to host Microsoft 365 apps for its customers and give them a Compliant WorkSpace in the cloud
NEW YORK - Californer -- AdvisorVault is now a certified Microsoft partner able to host Microsoft 365 apps for its customers and give them a Compliant WorkSpace in the cloud
For most small FINRA firms, technology has become a big mess. Stuck with an outdated email system that surely isn't being archived as per 17a-4, they end up with data all over the place: on laptops, in the cloud and some saved on a server under the sink in the office kitchen. Also, trying to collaborate with everybody is a nightmare most the time and let's not even mention security, viruses, or data protection. This hodgepodge has turned into a dog's breakfast, but for FINRA firms, the dog is a regulator who comes in and bites the compliance officer in the behind.
However, it's important that firms understand that the Microsoft cloud, by default is not 17a-4 compliant. For example, out-of-the-box users can simply delete emails or data at any time, also records aren't retained by Microsoft to meet the archiving demands of FINRA, security must be added, while connectors to other systems for archiving of third-party data such as social media must be properly configured by the D3P.
More on The Californer
Compliant WorkSpace Designed for FINRA Firms
That's why AdvisorVault has become a certified Microsoft Partner so now banks, broker dealers, hedge funds, investment advisors and private equity firms have a cloud option since all Office 365 apps are hosted through AdvisorVault, then archived to achieve the demands of SEC rule 17a-4. This includes Exchange Email, Sharepoint, OneDrive and Teams with connectors for LinkedIn company pages, Twitter, Facebook, Instant Bloomberg, Bloomberg Message, Salesforce, Slack and Zoom.
Also, Since AdvisorVault is the only certified Microsoft cloud partner with the 17a-4 Designated Third Party (D3P) certification, the Compliant WorkSpace includes the D3P service and the two 17a-4 third party notification letters.
The addition of the Compliant WorkSpace to AdvisorVault's consolidated D3P service is great news for small FINRA firms. They now have an option to put all their technology on the Microsoft cloud. By hosting their email, data, security, archiving and e-Discovery with AdvisorVault, for one monthly fee, firms have total piece of mind now that data compliance is finally out of the doghouse.
More on The Californer
About AdvisorVault:
AdvisorVault is the only provider helping small firms achieve today's stringent data compliance requirements surrounding electronic records archiving and supervision. With our FINRA designated third-party status (D3P) we help our customers achieve 17a-4. For one flat monthly fee the service includes everything needed to ensure today's audits are successfully passed. Complete piece of mind, out-of-the-box.
AdvisorVault Contact:
Allan Lonz, President
alonz@advisorvault.org
www.advisorvault.org
For most small FINRA firms, technology has become a big mess. Stuck with an outdated email system that surely isn't being archived as per 17a-4, they end up with data all over the place: on laptops, in the cloud and some saved on a server under the sink in the office kitchen. Also, trying to collaborate with everybody is a nightmare most the time and let's not even mention security, viruses, or data protection. This hodgepodge has turned into a dog's breakfast, but for FINRA firms, the dog is a regulator who comes in and bites the compliance officer in the behind.
However, it's important that firms understand that the Microsoft cloud, by default is not 17a-4 compliant. For example, out-of-the-box users can simply delete emails or data at any time, also records aren't retained by Microsoft to meet the archiving demands of FINRA, security must be added, while connectors to other systems for archiving of third-party data such as social media must be properly configured by the D3P.
More on The Californer
- California: Governor Newsom proclaims Independence Day 2025
- Gundam GQuuuuuuX Takes Center Stage at Anime Expo 2025
- John Duffy Competes in Mr Muscle Beach
- New Release: 'The Invisible Alternative' Unveiled by Atrisk Corporation, Resilient
- Thorn & Bloom Magazine Unveils Groundbreaking Second Edition: "Breaking the Cycle"
Compliant WorkSpace Designed for FINRA Firms
That's why AdvisorVault has become a certified Microsoft Partner so now banks, broker dealers, hedge funds, investment advisors and private equity firms have a cloud option since all Office 365 apps are hosted through AdvisorVault, then archived to achieve the demands of SEC rule 17a-4. This includes Exchange Email, Sharepoint, OneDrive and Teams with connectors for LinkedIn company pages, Twitter, Facebook, Instant Bloomberg, Bloomberg Message, Salesforce, Slack and Zoom.
Also, Since AdvisorVault is the only certified Microsoft cloud partner with the 17a-4 Designated Third Party (D3P) certification, the Compliant WorkSpace includes the D3P service and the two 17a-4 third party notification letters.
The addition of the Compliant WorkSpace to AdvisorVault's consolidated D3P service is great news for small FINRA firms. They now have an option to put all their technology on the Microsoft cloud. By hosting their email, data, security, archiving and e-Discovery with AdvisorVault, for one monthly fee, firms have total piece of mind now that data compliance is finally out of the doghouse.
More on The Californer
- Cheap O SMS Launches Groundbreaking Free SMS API Service
- California: Governor Newsom signs legislation 7.3.25
- Fireworks, fun, and safety: California preps for the holiday weekend
- BillBoards Inc. Hits the Road with God Bless America Tour and Reality Series Now Streaming on Tubi TV
- Legacy vs. Legacy Gala: Celebrating the Past, Powering the Future of the L.A. Watts Summer Games
About AdvisorVault:
AdvisorVault is the only provider helping small firms achieve today's stringent data compliance requirements surrounding electronic records archiving and supervision. With our FINRA designated third-party status (D3P) we help our customers achieve 17a-4. For one flat monthly fee the service includes everything needed to ensure today's audits are successfully passed. Complete piece of mind, out-of-the-box.
AdvisorVault Contact:
Allan Lonz, President
alonz@advisorvault.org
www.advisorvault.org
Source: AdvisorVault
0 Comments
Latest on The Californer
- New Media Film Festival Announces Winners
- New Podcast "Spreading the Good BUZZ" Hosted by Josh and Heidi Case Launches July 7th with Explosive Global Reach and a Mission to Transform Lives
- DetailAxis Unveils it's 'Business Engine': Powerful AI Systems for Auto Appearance Pros
- California: Governor Newsom announces appointments 7.2.25
- The Herbal Care, Led by Markel Bababekov, Becomes a Top Dispensary in NYC's Upper East Side
- Digital Watchdog Launches New myDW Cloud Services
- Governor Newsom honors fallen California Highway Patrol Officer Miguel Cano
- Stan Fitzgerald Appointed Acting Press Secretary for Veterans for America First VFAF Georgia State Chapter
- Drone Light Shows Emerge as the New Standard in Live Event Entertainment
- Lore Link is Here to Help Organize Your Game
- Governor Newsom marks historic expansion of California's Film and Television Tax Credit Program, announces 16 new projects to film in the Golden State
- Talar Guedikian Named Winner of 2025 AAJ Paralegal of the Year Award, Sponsored by Advocate Capital
- Chappaqua's Annual Townwide Summer Sale – Unbeatable Savings at Your Favorite Local Boutiques!
- Skyline Partners with ZenSpace to Offer Private Meeting Pods for Trade Show Exhibitors
- California: Did gas prices go up by 65 cents at the pump? No.
- Snell & Wilmer Welcomes Associate Victoria Cendejas to the Orange County Office
- Crime in California drops again — state records second-lowest homicide rate since 1966
- FireAid Donates $75,000 To California Strong To Distribute To Palisades and Eaton Fire Victims
- Celebrate Safely: 4th of July BBQ & Celebration Essentials from Mercury Insurance
- AI Innovation Dual-Strategy Business Model Focused on Real Estate Development for Strategic Expansion: OFA Group, (N A S D A Q: OFAL)