“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 keeps us compliant with our recordkeeping obligations. We could not be happier to continue to partner with them in this highly trusted and valued relationship.”
-Robert Dukesherer, Chief Compliance Officer, IEX Group, Inc.
Only Pay for What You Need - Save Up To 40%*
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.
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.
PATRINA RECORDS ARCHIVING IS
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
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.
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
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.
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.
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...