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See for yourself how the industry’s easiest-to-use compliance solution works in real life. Sign up for our weekly Wednesday 30-minute demo, followed by live Q&A!

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Check out Patrina’s live, weekly Patrina Compliance webinars and see for yourself how the industry’s easiest-to-use compliance solution works in the real world. No pitch. No selling. Just a demonstration of point/click/cost-effective compliance solutions.

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Regulator-compliant electronic communications & mobile archiving

See how your peers are archiving mobile communications compliantly to mitigate regulatory risk and costly exposures.

The 2nd and 4th Tuesday of every month at noon EST.

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Integrated Compliance Suite

See what your compliance colleagues are doing to manage all their nontrading compliance exposures through the easiest-to-use, 8-module regulatory compliance toolkit.

The 2nd and 4th Wednesday of every month at noon EST>

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Open for business? How can we help you today?

Compliant Records
Archiving
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Compliant Email + Social Media
+ Mobile + Website Archiving
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Compliant Archiving
Google Drive ™ + Dropbox ™ + Local File Servers
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Nontrading Regulatory
Compliance Suite Tool Box
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The regulators demand
compliance. Patrina delivers.

Point. Click. Compliance. Easy.

Get compliance right on day one with Patrina. Patrina delivers exactly the nontrading regulatory compliance tools you need when you need them. Flexible compliance solutions that are easy-to-use and affordably priced. Perfect when you are launching a new broker-dealer..

As 17a-4 compliance specialists, we’re committed to making records archiving and supervision easy and affordable. Every Patrina compliance product, every Patrina compliance service is designed to make your job easier and reduce your exposure to regulatory risks. Whether you need a complete compliance arsenal or select modules from our Compliance Suite Tool Box, Patrina’s affordable, end-to-end compliance solutions preserve and unify your mission-critical records into a single, globally accessible platform. Our solutions include our easy-to-use supervisory tools to improve operational efficiencies and further reduce regulatory risk.

No auto-renewing annual contracts.
No surprise price hikes.

Just the regulatory compliance solutions you need. When you need it. For as long as you need it. No fluff. No fat. Just powerful compliance muscle.

It’s your data. You own it. It deserves the best. It deserves Patrina. Don't get ambushed with auto renewing contracts. Don't stand for annual price hikes. You deserve better. You deserve Patrina Compliance.

Full-menu compliance or à la carte
solutions, Patrina is at your service.

Need a full arsenal of compliance solutions? Patrina delivers the power and the coverage you need to capture, consolidate, and manage all of your data anytime, anywhere from a secure, globally accessible archive. One platform for your trade records, confirms, customer statements, account forms, emails, text messages, and social media.

Order a single compliance solution to beef up your current platform.
Patrina’s flexible, affordable, à la carte menu of compliant archiving solutions lets you select precisely the tools you need to securely preserve and consolidate all of your critical electronic records. Compliant archiving and supervision made easy. Ask us about Patrina’s compliant:

  • Archiving Solutions For Google Drive™ , DropBox™, and more..
  • Enterprise Records Arhiving Solutions
  • Text + Email + Social Media Archiving Compliance
  • Designated 3rd Party Services
  • 8-module Compliance Suite Tool Box

PATRINA RECORDS ARCHIVING IS
17a-4 COMPLIANT

Cloud backup is great for disaster recovery, not for regulatory compliance. Your Dropbox™, Google Drive™, SharePoint™, AWS™, even your local backup are not regulatory compliant. They store your data but don’t archive it as required by 17a-4. That won’t help you with the regulators. Snap-on Patrina’s Compliant Archiving, and voilà;

1)       Your data archived in accordance with 17a-4 requirements for as little as $50/month.
2)       Fast access to the data you need when you (and the regulators) need it.
3)       Easy onboarding.
4)       No auto-renewing annual contracts.
5)       No surprise price hikes

We take care of everything.

Be records-ready in record time for your next examination. Send us or let us capture your emails, text messages, trade data, client data, or any records required under 17a-3, and Patrina Compliance takes care of the rest. Our Comprehensive Archiving and Supervision Platforms make it easy to supervise, quickly find, and produce those records required under 17a-3.

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PATRINA COMPLIANT EMAIL + TEXT + SOCIAL MEDIA ARCHIVING

Whether you are regulated by the SEC, FINRA, CFTC, or IIROC, Patrina’s digital communications archiving platforms meet the stringent requirements of your regulating body. With Patrina, you get the tools you need to:

1.        Archive, supervise, and quickly access all your communications 24/7.
2.        Respond quickly and efficiently to examiner requests.
3.        Mitigate the risk associated with non-compliant communications.
4.        Quick and easy onboarding.
5.        No auto-renewing annual contracts.
6.        No surprise price hikes.

We take care of everything.

Be regulatory-ready for your next examination. Whether its email, social media, text messages or your website our comprehensive Patrina's Archiving Platform makes it easy to quickly search through, review, and supervise all your digital communications.

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DESIGNATED 3rd PARTY COMPLIANCE SERVICES

Your hardware. Your data. Patrina’s right-priced 3rd Party Services.

Keep your data close to home, compliantly. With Patrina’s Designated 3rd Party (D3P) Services, you can store your firm’s electronic records in-house and comply with SEC, FINRA, and CFTC record archiving requirements. Your D3P services team will make sure your:

1.        Letter of Intent is filed with the right regulators, including the SEC, FINRA, and/or CFTC.
2.        Electronic records and indexes are archived in accordance with 17a-4 guidelines.
3.        Duplicate records and indexes are stored in a separate location and are easily accessible.
4.        Original records and associated indexes are stored on WORM media.
5.        Records are serialized, time stamped and inventoried with the appropriate retention periods.
6.        Onboarding is quick and easy.

We take care of everything.

It’s your data. Keep it close to home. With Patrina’s Designated Third Party Services, you can keep your data wherever you want it. At the same time, Patrina Compliance helps you minimize exposure to unwanted regulatory fines, scrutiny, or disclosure events.
It’s that easy!

More information

Point. Click. Compliance. Easy.™

8-MODULE NONTRADING COMPLIANCE SUITE

Powerful, affordable risk-management.

Patrina’s 8-module Nontrading Compliance Suite manages the core of your nontrading compliance exposure so you can stop juggling multiple vendors and multiple systems and manage your risk cost-efficiently.

Built on the industry’s easiest-to-use interface, Patrina’s 8 powerful modules automate workflow and deliver a 360° view of your entire nontrading compliance program. Use the entire suite, or select those modules that meet your specific needs for high-level reviews of all your compliance processes, and procedures — whenever and wherever you need it. Get top line and in-depth views of:

1. Electronic Communications
2. Written Supervisory Procedures
3. Marketing Material
4. Branch Office Audits
5. Gift & Entertainment Reporting
6. Political Contributions
7. Complaint Management
8. Outside Business Activities

We take care of everything.

Manage compliance risk efficiently and affordably. Patrina’s powerful 8-module Compliance Suite Tool Box makes it easier to track compliance companywide and nip potential exposures before they become regulator nightmares.

More information

Point. Click. Compliance. Easy.

Why Trust Patrina Compliance with your data? Just ask our clients.

We couldn’t be the leader in regulatory compliance innovation without the trust of our clients. Compliance professionals like you.

  • —Rob Dukesherer , Chief Compliance Officer,  IEX Group, Inc.
    IEX Group, Inc. operates a stock exchange and affiliated broker-dealer, and knows well the critical function of handling data flawlessly. Since 2013, we have trusted Patrina to retrieve, process, and store our files in a way that is designed to keep us compliant with our recordkeeping obligations. We could not be happier to continue to partner with them in this highly trusted and valued relationship.
    —Rob Dukesherer , Chief Compliance Officer, IEX Group, Inc.
  • —David R. Millar, Integrity Compliance Consulting, Inc.
    I recommend Patrina to my state- and SEC-registered RIA clients because their email archiving system is equal to any in the market, and better yet, it's less expensive than any of the others. Patrina offers a comprehensive compliance suite so that my SEC and state RIAs can inexpensively capture everything in one portal...
    —David R. Millar, Integrity Compliance Consulting, Inc.
 
 
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