Patrina compliant archiving
Compliant Archiving for Financial Services Records and Communications
Preserve the business records your firm is responsible for, bring communications into a searchable archive and give authorized teams a clearer path from supervisory review to focused retrieval.
- Electronic records and files
- Email, SMS and supported communications
- Search, review and retrieval workflows
Records in context
Preserve · index · search · retrieve
Financial firms that trust Patrina
CaptureBring supported sources into scope
PreserveRetain records with their context
SuperviseRoute review activity and evidence
RetrieveFind and produce focused records
Define the record
Compliant Archiving Across Every Channel
Financial firms manage communications and records across email, mobile messaging, formal documents, and other electronic channels—each with its own capture, retention, access, supervision, and production requirements.
Patrina’s compliant archiving solutions help firms bring these records together within a unified platform, simplifying oversight and making it easier to manage compliance requirements across every channel.
With flexible workflows and centralized access, Patrina helps compliance, operations, and technology teams efficiently manage, review, and produce the records their firm creates.
Important: Your firm determines which regulations, record categories, retention periods, and review procedures apply. Platform configuration should be based on your firm’s documented assessment.
Files, Documents and Firm Records
Preserve and organize critical business records based on what each file represents—not simply where it is stored. Structured indexing, legal hold, access controls, and efficient retrieval help firms manage records with greater clarity and control. See records solutions
Find, Review and Produce Records
Quickly locate relevant records, review them in context, and produce them in the format required for the request. Quickly locate relevant records, review them in context, and produce them in an SEC-ready format. Give authorized teams the tools to efficiently respond to examinations, inquiries, audits, and internal reviews—reducing manual effort and helping firms respond with greater speed, consistency, and confidence. Follow the archive workflowCompliant archiving solutions
Simplify Record Management and Compliance
Patrina takes the complexity out of managing the many types of records firms need to preserve and oversee.
Our solutions help organize records by type and business need, providing the tools, workflows, and controls needed to manage retention, access, review, and production—so your teams can spend less time managing records and more time focusing on the business.
For capture, preservation and search across business email, explore Email Archiving Software.
Showing all 7 archiving paths.
FoundationStart here
Records Management
Take the complexity out of managing different record types by establishing clear classifications, ownership, retention, and disposal requirements. Patrina helps firms turn record management policies into structured, repeatable processes that support consistent compliance.- Record classification and organization
- Policy, ownership, and responsibility alignment
- Retention and disposal lifecycle management
Records & files
Cloud Data & File Archiving
Bring cloud-based files and data into a compliant archiving environment when the underlying storage does not meet your firm’s SEC recordkeeping requirements. Patrina helps preserve these records with the indexing, controls, retention management, and retrieval capabilities needed to support regulatory recordkeeping under SEC Rule 17a-4.- Archive data from non-compliant cloud storage environments
- Apply structured indexing and retention controls
- Quickly search, retrieve, and produce records for regulatory review
Mobile communications
SMS Archiving Solution
Preserve business text messages in an SEC/FINRA-compliant archiving environment, maintaining the complete communication record and audit trail needed for retention, supervision, review, and regulatory production.- SEC/FINRA-compliant SMS preservation
- Complete message history and audit trail
- Supervisory review, retention, and regulatory production
Investment advisers
Archiving Software for Investment Advisors
Simplify the management of regulated records and communications across your advisory firm. Patrina provides a centralized archiving environment designed to support the channels, policies, retention requirements, and supervisory responsibilities specific to investment advisors.- Centralized records and communications archiving
- SEC/FINRA-compliant retention and preservation
- Search, supervisory review, and regulatory production
Registered investment advisers
RIA Email Archiving
Preserve RIA business email in a SEC/FINRA-compliant archiving environment aligned with the firm’s policies, access controls, retention requirements, and supervisory review procedures. Patrina makes it easier to manage, search, review, and produce email records when needed.- SEC/FINRA-compliant email preservation
- Policy-based access, retention, and review controls
- Search, retrieval, and regulatory production
Broker-dealers
Broker-Dealer Email Archiving
Preserve broker-dealer business email in a FINRA-compliant archiving environment aligned with the firm’s recordkeeping policies, approved communication channels, and supervisory procedures. Patrina helps your Broker-Dealer securely retain, search, review, and produce email records when needed.- Approved communication channel oversight
- Broker-dealer supervisory and recordkeeping workflows
- Examination-ready email access and production
Trade and report records
Broker-Dealer Trade and Report Data Archiving
Preserve structured trading and transaction data from platforms such as Bloomberg, Fidessa, TradeWare, Broadridge, and other trading systems in a compliant, searchable archive. Patrina helps broker-dealers maintain the data and context needed for recordkeeping, supervision, examinations, and regulatory production.- Structured trading and transaction data preservation
- Data integrity, indexing, and searchable historical records
- Regulatory review, examination support, and production
Not sure where your project belongs?Bring Patrina one record category, one communication source and one retrieval scenario. That is enough to start a useful scoping conversation.
Scope your archive
From source to production
Compliance Through Controlled Workflows and Secure Archiving
Patrina combines secure archiving with the controlled workflows firms need to manage regulated records effectively. Our solutions help firms define scope, preserve the context behind each record, and give authorized users the tools to review, search, and produce information efficiently when needed.
One Unified Platform
Designed to review, retrieve, and compliantly archive
- 01
Define the Scope
Identify the records type and their sources, communication channels, users, retention requirements, and business activities that fall within your firm’s archiving responsibilities. Patrina helps establish a clear scope, so the right records are preserved and managed consistently. - 02
Preserve and Index Records
Preserve each record according to its record type, defined indexes, and required retention period. Patrina verifies that records remain usable and maintains the context and metadata needed to organize, search, retrieve, review, and produce them efficiently when needed. - 03
Control Access and Review
Patrina applies the firm’s defined permissions, review workflows, lexicons, sampling, and escalation procedures to ensure authorized users can efficiently review and manage records while maintaining appropriate oversight and control. - 04
Search with Context
Patrina makes it easy to find and understand records using focused search criteria, indexed metadata, and repeatable searches. Results can be refined, reviewed, and revisited with the context needed to support efficient investigation and regulatory response. - 05
Retrieve and Produce Records
Quickly retrieve responsive records and the supporting context needed for internal reviews, customer matters, regulatory examinations, and other authorized requests. Patrina helps firms organize and produce records in a clear, usable format.
Supported content examples
Bring Business Communications into One Review and Retrieval Process
Patrina brings supported email, collaboration, messaging, and social communications into a centralized archiving environment. Consolidate records for consistent retention, search, review, and retrieval while maintaining the context needed for regulatory oversight.
Supported sources, historical import capabilities, and configuration requirements vary by product and account and should be confirmed for your firm’s environment.
Exchange
Gmail
Slack
LinkedIn
Facebook
X
Yammer
YouTube
Bloomberg
Office 365
Microsoft Teams
FirmScribe
Celltrust
MyRepChatSupervision with an audit trail
Make Review Activity Easier to Assign, Manage, and Document
Capturing a record is only the first step in an effective supervisory process. Patrina provides the tools to help firms manage review programs with customizable lexicons, sampling, follow-up, saved searches, assignments, permissions, escalation, audit trails, and reporting. These capabilities help firms create a consistent, documented review process—clearly showing why a record was selected, what action was required, how exceptions were addressed, and where the supporting evidence is maintained. Review your supervision workflow
Business texting in scope
Establish a Clear Mobile Review Process
Patrina’s mobile archiving solution works with supported mobile capture providers to preserve business text messaging within a compliant archiving environment. The solution supports business texting, scheduling, recurring messages, computer and mobile access, group messaging, and audit trails for supervisory review. Patrina helps firms establish a consistent process for approved mobile communications—from determining which users require SMS capture to preserving message history and maintaining the context needed for review, retrieval, and regulatory production.- User selection: The firm determines which users and mobile communications require SMS capture.
- Capture continuity: Maintain message preservation through onboarding, reassignment, and personnel changes.
- Complete context: Preserve participants, timestamps, and message threads for effective review and retrieval.
Records and their sources
Build the Archive Around Your Regulatory Obligations
Effective archiving starts with understanding the specific regulatory obligations that apply to your firm. Registration, communication channels, services, personnel, policies, and business activities help determine which records must be preserved and how they should be managed, reviewed, and retrieved.Identify Communications That Create Business Records
Identify the types of communications that generate business records, including advice, client instructions, approvals, and ongoing service activity. Patrina helps firms determine which communications and documents should be preserved, organized, and managed within a controlled archive. Explore communication and record archiving →Convert Cloud Data into a Regulatory-Compliant Archive
Cloud storage is not necessarily a regulatory-compliant archive. Patrina helps firms move or preserve cloud-based files and data within an archiving environment designed to meet applicable recordkeeping requirements. Records can be classified, indexed, retained, searched, reviewed, and produced while maintaining the context and usability needed for regulatory oversight. Explore cloud data and file archiving →Compliant Trade System Archiving
Preserve structured data from trading platforms such as Bloomberg, Fidessa, TradeWare, Broadridge, and other systems in a regulatory-ready archive without the cost and complexity of traditional enterprise solutions. Patrina provides secure, searchable preservation of trade and transaction records with the controls needed for retention, supervision, examination, and regulatory production. Explore trade and report data archiving →A practical evaluation
What Should a Financial Firm Evaluate in a Compliant Archiving Platform?
The right archiving platform should do more than demonstrate features—it should prove it can support your firm’s actual regulatory and operational requirements.
Evaluate the platform using real records, real users, and realistic retrieval scenarios to understand how effectively it can preserve, manage, review, search, and produce records when needed.
Look beyond a feature checklist and evaluate implementation, usability, compliance controls, and the ability to support your firm’s specific recordkeeping obligations.
What Does the Archive Capture, and Where Are the Boundaries?
Clearly define what the archive captures from each supported source, including messages, attachments, edits, reactions, metadata, and other content elements. Confirm that the platform’s capture capabilities align with the firm’s documented recordkeeping requirements rather than relying on broad claims of channel support.Can the Firm Identify the People and Event?
Search results should provide the sender, recipient, date, time, thread, file, and other relevant context needed to clearly identify the people involved and understand the business event represented by the record.How Are Integrity and Retention Handled?
Evaluate how the archive preserves and verifies records, maintains accurate dates and times, applies indexing, manages duplicates, and enforces retention requirements by record category.Define Who Can Access Records and From Where
Define which users, teams, branches, and locations can access records and what actions each is authorized to perform. Confirm how permissions are approved, enforced, changed, and audited to maintain appropriate control over search, review, export, and administration.Does the Workflow Reflect Written Procedures?
Confirm that sampling, lexicons, assignments, escalation, and evidence workflows align with the firm’s documented supervisory procedures. The archive should support and enforce the review process the firm has established.Can a Search Be Focused and Repeated?
Test a real retrieval request to evaluate search speed, filtering, saved criteria, false positives, and repeatability. Confirm that users can refine searches and clearly document how each result set was produced.What Leaves the Archive with the Record?
Evaluate what is included when a record is exported, including file formats, metadata, attachments, review history, and other supporting context. Confirm that the output is complete, usable, and limited to the records and information relevant to the request.How Does the Archive Handle Migration and Exit?
Evaluate how the archive handles legacy data imports, new sources, user departures, ongoing record access, and changes in service. Confirm how the firm can retrieve and export its records throughout the relationship and at the end of the engagement.Common questions
Compliant Archiving Questions Financial Firms Should Resolve Early
Answering these questions early helps firms define their archiving requirements and establish a clear implementation approach. Patrina can help translate those requirements into practical workflows for preserving, managing, reviewing, and producing regulated records. These considerations support the implementation process but do not replace the firm’s legal, compliance, or records-management assessment. Talk to Patrina
Compliant archiving is the controlled preservation of business records and communications in accordance with the regulatory requirements and procedures applicable to the firm.
An effective archive should maintain record integrity, support defined retention periods and access controls, enable required supervision and review, and provide efficient search and authorized regulatory production.
The answer depends on the firm’s business activities, registrations, approved communication channels, policies, and the nature of each communication.
Patrina helps firms identify where regulated business is conducted and establish the appropriate capture, preservation, and retention requirements for each source within scope.
Not necessarily. Backups are generally designed for data recovery, while compliant archives are designed to preserve defined records with appropriate retention, access controls, search, review, and regulatory production capabilities.
Firms should evaluate whether their backup or storage systems provide the controls required for their specific recordkeeping obligations.
Yes. Patrina provides compliant archiving for business email, SMS, and other supported electronic communications. Mobile text messaging can be captured through supported mobile capture providers and preserved within Patrina’s archiving environment.
Confirm the specific source, account configuration, historical import, and workflow requirements for your firm.
No. Archiving is a step towards compliance but does not determine a firm’s regulatory obligations.
The firm remains responsible for identifying applicable requirements, establishing policies and procedures, approving communication channels, configuring the platform, and carrying out required supervision and recordkeeping.
Bring a list of approved communication systems, key record categories, approximate users or data volumes, access roles, review procedures, and a realistic search or production request. This allows the demonstration to focus on your firm’s actual requirements and provides a practical way to evaluate the solution.
Plan the archive around your firm
Bring the Records, Channels, and Retrieval Scenarios That Matter
Start with the records your firm creates, the systems and channels where they reside, and the information authorized users need to find and produce later. Patrina can then demonstrate the archiving, review, and retrieval workflows most relevant to your firm.- Identify communication sources and electronic record types
- Define access, retention, and supervisory requirements
- Test search, review, and production using a realistic request