FINRA adds Patrina to its Compliance Vendor Directory

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FINRA adds Patrina to its Compliance Vendor Directory

FINRA adds Patrina data management + email/social media archiving to its Compliance Vendor Directory

Trusted by clients since 1993, Patrina now is even more well-credentialed. The Financial Services Regulatory Authority has added Patrina’s data management and email/social media archiving solutions to its Compliance Vendor Directory. Now it’s even easier for Broker-Dealers and others in the financial services arena to access and rely on the best tools to manage non-trading compliance exposure.

No need to go it alone

Patrina’s easy-to-use compliant message/social media archiving platform is backed by exceptional support to ensure broker-dealers and others meet FINRA’s stringent requirements by providing essential tools to compliantly archive and supervise communications across virtually all platforms to ensure efficient response to examiner requests, and mitigate the risk associated with non-compliant communications.

Patrina’s email/social media archiving solution delivers:

  • Full indexing to maximize search;
  • Customizable flagging lexicons;
  • Percent sampling execution of all messaging;
  • Message flagging for follow-up;
  • Social engagement monitoring to ensure compliance with SEC and FINRA regulations;
  • Save and repeat search criteria making data retrieval quick and convenient;
  • Built-in tools to automate review assignments;
  • Control access and permission to view messages from specific groups;
  • Risk analysis and reassign/escalate oversight;
  • A full audit trail, maintained, archived, and imported legacy messages;
  • Reports generated for review and regulator requests; and that’s just the tip of Patrina’s compliance iceberg.


Among the content Patrina’s email/social media archiving solution supports are:

Microsoft Exchange
Microsoft Lync
Google Mail
Office 365
Yahoo Messenger

Patrina’s data management solution delivers:

Compliant archiving and management of electronic records related to your firm’s business activities, you know the ones requiring long-term archival and ready retrieval when the regulators come calling? Patrina has a long history of working with large and small firms to ensure their compliance teams are ready to comply with FINRA demands and deliver only those records required, developing the appropriate indexing solution to fit each of your record types.

And now you can find Patrina in the FINRA Compliance Vendor Directory

Patrina’s inclusion in the single most comprehensive resource for compliance offerings, FINRA’s Compliance Vendor Directory ensures you have even more access to solutions meeting the requirements of both FINRA Rules 3110, 4511, and 8210 and SEC Rule 17a-4. And that’s on top of our already robust suite of Integrated Compliance Solutions and Designated Third Party service offerings. Win. Win. Win!

Be ready because… It’s not a matter of if….It’s a matter of when

Patrina is very pleased to be included in the FINRA Compliance Vendor Directory, but we’re even more pleased by what that inclusion means for Patrina customers. Whether it’s the CFTC, SEC, FINRA, IIROC or a State Regulatory body, you know your time is coming and you know reviewing your firm’s regulatory compliance exposure is always mission critical. With Patrina, you can be confident you’re prepared with compliance solutions that won’t break the bank.

Let’s talk (212-233-1155). Ask about Patrina’s comprehensive compliance solutions and compliant data capture, file storage, and records archiving specifically designed for the financial services community. We’ve got you covered.


FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. FINRA’s Compliance Vendor Directory (CVD) seeks to assist firms as they research potential vendors in support of firm compliance requirements. The information in the CVD is provided solely as a convenience to firms. FINRA does not endorse the products listed in the CVD and firms are not obligated to use them. Their use does not ensure compliance with FINRA rules or other regulations or laws.