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The regulators are still watching.

The need for compliance oversight does not stop during a crisis. In times like these, the last thing you want to learn is that your compliance systems are not regulator-standard compliant, particularly your cloud backup.

If you are backing up in the cloud, now, more than ever, you should know that Dropbox, Google Drive, SharePoint, or AWS are not 17a-4 compliant. Neither is local backup. But snap on Patrina’s Compliant Archiving, and voilà, your data is safe, secure and compliant for as little as $50/month.

Together we can keep your newly, work-at-home employees’ mobile communications compliant. You take care of them. We take care of you.


Patrina leads the industry in Enterprise Compliance & Records Management for the Exchanges, Financial Services and Insurance sectors

Helping you keep your organization regulatory compliant is job one at Patrina. We are 17a-4 compliance specialists, committed to making records management easy and affordable. Exactly the compliance support and solutions you need, when you need it.

The regulators demand compliance. Patrina delivers.


Point. Click. Compliance. Affordable.TM

Patrina delivers exactly the nontrading regulatory compliance tools you need when you need them. Flexible compliance solutions. Easy-to-use. Right priced.

As 17a-4 and 17 CFR compliance specialists, we’re committed to making records management easy and affordable. Every Patrina compliance product, every Patrina compliance service is designed to make your job easier. Whether you need a complete compliance arsenal or select modules from our Compliance Suite, Patrina’s affordable, end-to-end records management solutions preserve and unify your mission-critical records into a single, globally accessible platform. Easy-to-use supervisory tools 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. Patrina Compliance archives it. Demo today. Onboard tomorrow. Stay as long as you like. Patrina clients stay Patrina clients, because when the regulators make demands, they know Patrina will deliver; not because we’ve handcuffed them to us with an automatically-renewing annual contract (with built-in price hikes).

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, image files, 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, archived for easy accessibility. Ask us about Patrina’s compliant:

  • Data Capture + Archiving Solutions
  • Enterprise Records Management Solutions
  • Text + Email Archiving Compliance
  • Designated 3rd Party Services
  • Integrated, 8-module Compliance Suite



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. That won’t help you with the regulators. Snap-on Patrina’s Compliant Archiving, and voilà;

  • 1. Your data stored on WORM media, safe, secure, 17a-4, and 17 CFR 1.31 compliant 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



Give us your emails, social media, confirms, blotters, account documentation, statements, and other required documents, and we’ll take care of the rest, including onboarding, archiving, updates and retrieval.



Your site. Your data. Patrina’s right-priced, compliant electronic records management.

Keep your data close to home, compliantly. With Patrina’s Designated 3rd Party Services (D3P), 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 accessible via remote connection.
  • 4. Original records and associated indexes are stored on WORM technology.
  • 5. Complete records types are inventoried and accessible.
  • 6. Onboarding is quick and easy.



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 cost-effectively. At the same time, Patrina Compliance helps you minimize exposure to unwanted regulatory fines, scrutiny, or disclosure events. It’s that easy!

Point. Click. Compliance. Painless.TM



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



Be data-ready for your next examination. Send us your emails, your texts, and Patrina Compliance takes care of the rest. Our comprehensive Message Archiving Platform + MyRepChat makes it easy to supervise, screen, and review all your digital communications.



Powerful, affordable risk-management.

Patrina’s 8-module, Integrated 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 360o 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



Manage compliance risk efficiently and affordably. Built on the industry’s easiest-to-use interface, Patrina’s powerful 8-module Integrated Compliance Suite makes it easier to track compliance companywide and nip potential exposures before they become regulator nightmares.

Point. Click. Compliance. Simple.TM


What our clients say...

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