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Since FINRA doesn't care if member firms use the cloud to run their company (provided records are retained to meet SEC rule 17a-4), the best option for small FINRA firms is Microsoft 365. However, moving to the Microsoft cloud must be done properly yet for most firms without in-house IT that's a problem, missing the mark means failing 17a-4. To solve this, we partnered with Compliant Workspace - a Microsoft 365 service provider - giving our customers all the features getting on the Microsoft Cloud compliantly. "We decided to partner with Compliant Workspace because customers needed to meet 17a-4 on Microsoft 365. I found they often had a mix of technology, in-house; on the cloud, with serious gaps, they surely weren't cybersecure" says Allan Lonz, President of AdvisorVault. "Even firms who were already on Microsoft 365, were wide open to threats, also they were paying too much subscription fees, we realized getting on Microsoft 365 properly was the best way forward." Lonz added. For FINRA firms, getting on Microsoft 365 properly means three things: (1) a clear path migrating everything off in-house systems to the cloud, (2) an add-on application to secure & monitor activity on the cloud, especially registered reps, and finally (3) a plugin to archive and retain data off Microsoft 365 to meet the FINRA 17a-4 electronic records retention demands. That's why we chose Compliant Workspace. Compliant Workspace: A Clear Path To 17a-4 on Microsoft 365 Compliant Workspace, unlike Microsoft and other generic cloud providers who sell companies basic subscriptions only, has created a complete package for FINRA firms with their 365 Migration Service ridding customers of in-house systems by moving all users' data off personal PCs to OneDrive, migrating in-house data stored on servers to company SharePoint sites; email accounts fully migrated to Exchange Online, with private/group chats on Teams configured - ready to be archived centrally for FINRA. Also, with Compliant Workspace firms get a "FINRA approved 17a-4 cybersecurity add-on" plugged into the Microsoft cloud - includes all features needed to make them secure with:
AdvisorVault's Cloud Archiving Plugin for FINRA Records Retention Following a full migration to Microsoft 365, firms must take an extra step to be fully 17a-4 compliant - they'll need to add a Cloud Archiving Plugin. Since by default Microsoft does not protect customers data on their cloud; they surely won't retain it as per 17a-4, (In fact, Microsoft won't provide the two third-party attestation letters FINRA needs) therefore, an additional step is needed to get 17a-4 compliant on the Microsoft Cloud. Our 17a-4 compliant Cloud Archiving Plugin meets the long-term retention demands of 17a-4 with protection of emails, data stored on OneDrive and SharePoint including dynamic Teams archiving, in addition, with granular protection to restore individual emails, files, contacts, calendar items and Teams chats - critical for audits when the firm needs to reproduce electronic records. Finally, it archives data on the cloud as users create it, ensuring records are always transferred to a separate system, giving further protection against ransomware attacks. About AdvisorVault AdvisorVault is a FINRA D3P with a turn-key approach including the archiving, retention, and supervision of electronic records- in-house or in the cloud. Including the FINRA third-party service with all the required documentation. For one flat monthly fee it's the only fully 17a-4 compliant option providing complete peace of mind. About Compliant Workspace Compliant Workspace is a managed Microsoft 365 cloud service provider committed to giving small companies a complete option to move their firm to the Microsoft 365 Cloud. With our unique Consolidated 365 Service® including our Pre-Set 365 Security Template, 365 Cloud Protect and 365 Migrate, we give firms a fully-secured, fully-protected office in the cloud - out-of-the-box. To learn more how AdvisorVault and Compliant Workspace can help your firm get 17a-4 compliant on Microsoft 365 contact us today:
SOURCE AdvisorVault 
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