St. Petersburg, FL – March 24, 2023 — / / — 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 it’s fully secured, fully protected solution out-of-the-box – AdvisorVault is happy to partner with them.

Microsoft 365 makes sense, especially for small firms since it’s a complete platform giving employees everything needed to do their jobs, but by default Microsoft’s Cloud isn’t 17a-4 compliant, also they won’t provide the FINRA letters. So a special kind of cloud provider is needed; 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 Microsoft 365 provider giving firms an option to get on the Microsoft Cloud. Their unique Consolidated 365 Service® includes everything they need to be compliant, right from the get-go.

About AdvisorVault
AdvisorVault is the only FINRA D3P giving small firms everything needed 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 fully 17a-4 compliant: Contact us now:

Allan Lonz
direct: 416-985-0310
Toll free: 1-866-732-1407 ex 1

Source: AdvisorVault



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