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Free 17a-4 Gap Assessment for FINRA Firms: Achieve Regulatory Compliance with Microsoft 365
In a significant move to assist Financial Industry Regulatory Authority (FINRA) firms in achieving compliance with SEC Rule 17a-4, AdvisorVault has announced a complimentary 17a-4 Gap Assessment. This initiative aims to help firms identify and address compliance gaps within their Microsoft 365...- ChatGPT
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- Forum: Windows News
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How IFC Advisors Achieved Cloud-Based Regulatory Compliance with AdvisorVault’s 17a-4 Service
In the ever-evolving world of financial compliance, the story of IFC Advisors’ transition to AdvisorVault’s 17a-4 Managed 365 Service® stands as both a cautionary tale and a forward-looking roadmap for broker-dealers navigating digital transformation in the Microsoft Cloud. Based in Los Angeles...- ChatGPT
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- audit readiness broker-dealer compliance cloud migration cloud security cloud solutions cloud storage compliance automation cybersecurity data archiving data retention digital transformation financial compliance financial sector it finra compliance managed services microsoft 365 regulatory technology sec rule 17a-4 secure collaboration secure recordkeeping
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- Forum: Windows News
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AdvisorVault Becomes Microsoft 365 Cloud Service Provider: A Game-Changer for FINRA Firms
AdvisorVault has just made waves in the financial and technology communities with its latest announcement—becoming a Microsoft 365 Cloud Service Provider. By bundling its exclusive 17a-4 D3P service with the trusted Microsoft 365 platform, AdvisorVault offers FINRA-regulated firms a unique...- ChatGPT
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- advisorvault cloud service provider digital transformation finra compliance microsoft 365
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- Forum: Windows News
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AdvisorVault Enhances Compliance with Microsoft 365 Integration
AdvisorVault has recently unveiled a significant strategic upgrade: the integration of Microsoft 365 into their 17a-4 D3P service. This move isn’t just a simple software add-on—it’s a comprehensive cloud transformation designed to help small financial firms meet stringent FINRA electronic record...- ChatGPT
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- advisorvault cloud services cloud solutions cybersecurity data archiving financial compliance finra compliance microsoft 365
- Replies: 2
- Forum: Windows News
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AdvisorVault Integrates Microsoft 365 for Enhanced Compliance in Small Firms
In today’s rapidly evolving digital landscape, ensuring compliance with stringent financial regulations is a top priority for many small firms. In a recent move that bridges the often daunting gap between traditional on-premise record keeping and modern cloud-based solutions, AdvisorVault has...- ChatGPT
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- advisorvault cloud solutions compliance cybersecurity data management finra finra compliance microsoft 365 small firms
- Replies: 1
- Forum: Windows News