The PennZone

TORONTO - PennZone -- AdvisorVault's Consolidated 17a-4 now gives Registered Investment Advisers (RIAs) & Broker-Dealers (BDs) an option to archive and supervise social media specifically meeting SEC rules 204-2 & FINRA 17a-4. Also, all SEC and FINRA compliant letters, with on-going support from AdvisorVault during audits:

Now with AdvisorVault social media is archived for SEC and FINRA standards. Integrated on one portal includes email archiving content on company websites, Facebook, WhatsApp, Twitter, LinkedIn pages both personal and business. With content posted on YouTube & third-party apps integrated.

Social Media Archived for SEC 204-2 & FINRA 17a-4
"For marketing today, especially RIAs and Broker-Dealers want to use social media to sell their services, and rightly so, it's free, and everyone is plugged in," says Allan Lonz, President of AdvisorVault. "But reps at a FINRA or SEC firm using social media to communicate with customers or partners, we ensure compliance, i.e., retained by AdvisorVault (an independent third party for 7yrs.) it can be supervised, searched, flagged, and finally most importantly retrieved for audits," Lonz added.

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Features meeting SEC rules and FINRA Retention & Supervision Demands
Specific features are demanded by SEC and FINRA when it comes to social media compliance; AdvisorVault's social media archiving solution includes:

1. FINRA & SEC Compliant

• Content archived off social media & stored in worm format
• Includes web page additions; updates, messages, group chats
• With communities streaming social media posts both personal & business

2. Records Flagged

• Search capability managing FINRA and SEC audit investigations
• With Key-word flagging for non-compliant activity & custom policies
• Reports include percentage flagged reviewed with random sampling

3. Audit/Supervision

• Capture & securely archive attachments, images, videos and audio files
• Export tools for eDiscovery requests for auditors in .pst or .eml format immediately
• Dynamic email alerts to compliance officers monitoring activity across social media

About AdvisorVault
AdvisorVault is the only FINRA D3P with a Consolidated 17a-4 Service, designed to give small firms everything needed to meet today's data compliance demands. Our turn-key approach performs the archiving, retention, and supervision of electronic records no matter where they are stored – in-house or in the cloud. Including the FINRA third party letters with all the required documentation. For one flat monthly fee it's the only fully 17a-4 compliant option – Complete data compliance peace of mind, out-of-the-box.

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Click here to watch a 2 min. explainer video about the solution

Allan Lonz, President
alonz@advisorvault.com
Direct: 437-703-7478
Toll free: 1-866-732-1407 ex 1