AdvisorVault Offers 17a-4 Gap Assessment Free, Getting FINRA Firms Compliant on Microsoft 365

Getting properly on the Microsoft Cloud is the key to closing gaps in a firm's electronic records retention & supervision.

TORONTO, July 23, 2025 /PRNewswire/ - Since the main problem FINRA firms have (especially small ones), is running a mix of technology: half in-house & half in the cloud. For example, some users are on Microsoft, others storing files on Dropbox, with the rest keeping records scattered on their hard drives - preventing a centralized approach to 17a-4 electronic records retention. With this also in mind, AdvisorVault created the Assessment to close gaps while ensuring 17a-4 compliance on the cloud.

Consolidate 17a-4 Records Retention with Microsoft 365

"When it comes to meeting 17a-4, i.e. the long-term records retention and supervision demands of the rule, the single biggest problem I see is firms not consolidating onto a full cloud platform. And Microsoft 365 is the best option for firms today". Says Allan Lonz, President of AdvisorVault. "Especially small FINRA firms without in-house IT or compliance; getting fully on Microsoft 365 is key to closing data compliance gaps by allowing us to centralize their data archiving (not to mention solving their cybersecurity problems on the cloud)", Lonz Added.

Ultimately though, the purpose of AdvisorVault's 17a-4 Gap Assessment is getting firms now fully consolidated on Microsoft 365. By doing this, key questions surrounding data compliance are answered:

• Audit Supervision  Can compliance officers perform best practice audit supervision via a secure web interface for records on Microsoft 365?
• Designated D3P  Has a Designated Third Party (D3P) been assigned for independent access to the firm's archive within 48 hrs of a FINRA audit?
• Records Retention  Does the archive include electronic records as per FINRA going back 7 yrs.: journaled messages; chats; OneDrive/SharePoint; full email backups; books & records?
• FINRA Compliant  Are advanced searches enabled with keyword flagging & download sample sets from the cloud in zip, pst , eml formats on demand?

Click Here to request the AdvisorVault 17a-4 Gap Assessment and a call back to get started today.

About AdvisorVault

AdvisorVault is the only FINRA D3P with a Consolidated 17a-4 Service, giving small firms a turn-key approach for archiving, retention & supervision of all electronic records no matter where they are stored – in-house or in the cloud.

AdvisorVault Contact:
Allan Lonz, President
www.advisorvault.com
[email protected]
Toll free: 1-866-732-1407

SOURCE AdvisorVault