AdvisorVault

Securities firms using Laserfiche as their document management solution face challenges properly protecting the data associated with this program. Broker-dealer firms, for example, must incorporate rules 17a-4 and the D3P into their backup strategy

I often ask customers, “If your office burned down to ashes, what would you do?” This particular question is aimed to get the DR juices flowing and help paint a complete picture of the worst case scenario. SEC and FINRA are looking for a plan.

With their continuing advancements in technology, remote backup providers are now being used by small broker-dealer firms to achieve today's demanding data compliance requirements

Today, FINRA firms such as broker-dealers and RIAs must make the D3P a key part of their data compliance strategy. The FINRA (D3P) as outlined in rule 17a-3 &17a-4 is usually the last step of their data compliance process. By AdvisorVault.org

Turnkey product now gives small broker-dealers complete data compliance peace of mind “out of the box”