Preserved
exclusively in a non-rewritable, non-erasable format
Preserve the record. Keep it within reach.
Compliant Record Archiving
Organize your electronic records around the way your compliance team needs to preserve, find and produce them.
Compliance. Easy.
PreserveKeep the record intact.
OrganizeGive each record a clear place.
RetrieveFind the information you need.
The Regulatory Landscape Continues to Change
But the rules surrounding electronic record archiving have remained consistent since their inception.
SEC Rule 17a-(4) and 17 CFR 1.31 have made it clear that if your firm is governed by one of these regulations, and your firm uses electronic records, then you must follow their guidelines for how those records are to be handled or face possible repercussions.
If you are a Broker-Dealer, Registered Investment Advisor, Futures Commission Merchant, Swap Exchange Facility or Swap Dealer then chances are you generate a lot of records related to your business activities and those records may be subject to the requirements of SEC 17a-(4) or 17 CFR 1.31.
If you are subject to one of those regulations and your records are in electronic format, then you understand some of the challenges associated with the long-term archival and retrieval of those historical records.
With Patrina’s Compliant Record Archiving solution your records are:
Verified
automatically for quality and accuracy during the recording process
Serialized
and time-date stamped for the required period of retention
Duplicated
and stored separately from the original, on a medium acceptable under 17a-4 or 17 CFR 1.31
Organized
and indexed accurately on both original and duplicate storage media
You’re Covered
with Patrina’s Compliant Record Archiving platform. Once onboarded, Patrina provides your firm with our Third Party Letter of Undertaking assuring regulators that your record keeping requirements have been met.
Trusted Compliance Solutions
For over two decades, Patrina has worked with small and large firms alike, to ensure their electronic records meet the strict requirements set forth by their regulators.
To ensure your compliance team is ready to deliver those records, and only those records required, our team works with your compliance department to develop the proper indexing scheme that fits each record type.
Trusted
Since 1993, Patrina has provided the securities industry with trusted compliance solutions. As a Designated Third Party, we ensure our compliant records archiving platform meets the strict requirements of SEC 17a-(4) and 17 CFR 1.31 while providing a powerful, yet easy to use interface for your users. Contact Patrina today so we can show you how easy it is to meet your regulatory recordkeeping requirements.
A closer look at Patrina
See Your Recordkeeping Workflow in Action.
Explore Compliant Record Archiving with the Patrina team. Bring your questions and the records your firm needs to manage.
Prefer a conversation?(212) 233-1155
Serving financial services since 1993.
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