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By Allan Lonz, President of AdvisorVault March 16, 2018 Cloud Backup Expert Tips: Three Truths about Making the Cloud 17a-4 Compliant An important thing I’ve learned working with small FINRA firms over the past 12 years is their need to continually find ways to keep technology spending as low as possible yet keep regulators happy, [...]

Because cloud data isn’t retained for 7 years, anyone can delete files or emails at any time, and in order to remain compliant to 17a-4, FINRA firms need to add another layer to their cloud storage NEW YORK, NY – November 23, 2017 — /BackupReview.info/ — Small FINRA firms like Perth Advisors use the cloud [...]

AdvisorVault’s new site contains detailed guides, downloads, and documentation to help FINRA firms effectively fulfill SEC rule 17a-4 NEW YORK, NY – Oct. 12, 2016 — /BackupReview.info/ — AdvisorVault, the leader in 17a-4 data backup, has launched a new website. Designed to give small FINRA firms the most up-to-date tools to tackle today’s data compliance [...]

LPL Financial firm, Core Wealth Planning, selects AdvisorVault as their third party vendor to help them with remote data backup and archiving of electronic records as required by SEC rule 17a-4. AdvisorVault, www.advisorvault.org EVANSTON, IL – December 16, 2014 — /BackupReview.info/ — “AdvisorVault made it very easy for us to implement a compliant backup and [...]

Toronto, ON, Dec. 17, 2012 — /BackupReview.info/ — The D3P requirement outlined in 17a-3 and 17a-4 poses difficulty for small broker-dealer firms. They need to find a provider that offers a consolidated solution to help them successfully pass FINRA audits and keep the cost of compliance under control. The all important books and records rule [...]

Three Tips for Choosing the Designated Third Party (D3P) A Guide for Small FINRA Firms Toronto, Sept 06, 2012 — /BackupReview.info/ — As part of the auditing process, FINRA will want to know who has been selected as the designated third party storage provider (D3P). This means, they want to know which independent company has [...]

Toronto, June 27, 2012 — /BackupReview.info/ — Microsoft Exchange Server is a popular in-house email system used by financial firms to manage their communications. It allows full control over email accounts, sharing of contacts, calendars and public folders. In addition, it is relatively inexpensive operate, so many companies choose Exchange as opposed to outsourcing their [...]

Toronto, ON, March 5, 2012 –/BackupReview.info/– AdvisorVault, the only remote backup provider specifically create for small financial firms now offers Remote Data Archiving to help FINRA members achieve SEC rule 17a-4. By far, the most troublesome data compliance regulation for FINRA members is the electronic records retention and supervision rule 17a-4. This piece of legislation [...]

Tampa, FL, March 08, 2011 –/BackupReview.info/– Today, GMx Solutions announces a strategic partnership with AdvisorVault to create Blue Paper Cloud, the only compliant cloud solution for financial firms using Laserfiche. This partnership strengthens GMx’s position as a Laserfiche VAR reselling the world’s leading document management product for companies wishing to convert to a totally paperless [...]

Toronto, ON, Canada, Mar 2, 2011 –/BackupReview.info/– AdvisorVault, the only remote backup provider designated to small financial firms now protects customer data in the cloud. This ensures firms who are members of FINRA regulated by the SEC meet the data retention requirements of 17a-3 and 17a-4. This ensures firms who are members of FINRA regulated [...]

AdvisorVault Protects Data for Small Financial Firms Toronto, Ontario, Canada, Mar 01, 2011 –/BackupReview.info/– With their continuing advancements in technology, small financial firms can now use remote backup providers to achieve compliance rules such as SEC 17a-3 &17a-4 and successfully pass FINRA audits. However, not all remote backup providers are created equal and broker-dealers, investment [...]

Toronto, Ontario, Canada, Feb. 24, 2011 –/BackupReview.info/– AdvisorVault, the only remote backup provider dedicated to helping financial firms with their data compliance requirements offers Designated Third Party (D3P) services. The FINRA Designated Third Party (D3P) requirement as outlined in rule 17a-3 &17a-4 is by far one of the most confusing aspect of data compliance. But [...]

AdvisorVault Inc, a data compliance provider that focuses on servicing private security broker-dealer firms announces that it has entered into a strategic partnership with ROBOBAK Windsor, Ontario, Canada, Dec. 14, 2010 — Today, AdvisorVault Inc, a data compliance provider that focuses on servicing private security broker-dealer firms announces that it has entered into a strategic [...]

  

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