Patrina Designated 3rd Party Services

With Patrina’s Designated 3rd Party Service (D3P), you can store your firm’s electronic records in-house and comply with SEC, FINRA, and CFTC record archiving requirements.

Backed by 25 years of financial services compliance expertise, Patrina’s dedicated compliance teams work with you to keep your records fully compliant with SEC, FINRA, and CFTC requirements — without breaking the bank!

Your Patrina Designated Third Party Services team members work with you and your staff remotely to ensure your firm’s:

• Letter of Intent is filed with SEC, FINRA, and/or CFTC;
• Electronic records and indexes are archived in accordance with 17a-4 guidelines;
• Duplicate records and indexes are stored in a separate location and are accessible via remote connection;
• Original records and associated indexes are stored on WORM technology;
• Complete records types are inventoried and accessible; and
• Peace of mind and regulatory compliance.

Patrina’s Designated Third Party Services delivers:

• Detailed documentation to ensure access and use of your system(s) remotely;
• Quarterly testing of download procedures and update documentation as needed;
• Comprehensive reporting on the results of each quarterly audit and any gaps uncovered;
• Letter of undertaking filing with the SEC, FINRA, and/or CFTC; and
• Peace of mind and regulatory compliance.

Patrina’s Designated Third Party (D3P) Service is more than just a compliance solution—it’s a partnership in regulatory excellence. With our robust D3P service, you gain a team of compliance experts to ensure your firm meets all regulatory requirements without incurring exorbitant costs.

From meticulous record-keeping to proactive quarterly audits, Patrina’s D3P service provides an all-encompassing approach to electronic records management. Our focus on affordability means you can confidently maintain compliance and protect your firm’s reputation, all while keeping your operational expenses in check.

So, when the regulators call, will you be ready?

Click here to schedule your consultation or call +1.212.233.1155 today and we’ll help you do more, spend less, and reduce risk!