FINRA & SEC

Archiving, eDiscovery, Backup, Recovery & Cybersecurity for Financial Services

FINRA rules require that members maintain business continuity and contingency plans to satisfy obligations to clients in the event of an emergency or outage. A key component to any business continuity plan, Vault America Cyber & Data Security services help meet FINRA and SEC requirements as they relate to data backup, offsite storage, and contingency planning.

While FINRA specifically requires business continuity plans to include backup and recovery for books and records, any good business continuity plan includes secure data backup, offsite storage with instant access, data replication, and the assurance of reliable, speedy recovery.

The Vault America Hybrid Cloud Backup & Recovery, Email & Information Archiving, and eDiscovery services feature built-in access controls, audit logs, and an infrastructure that supports compliance with FINRA regulations. Whether data requires retentions of seven days or seven years, all data processing documented and stamped with both time and date. Detailed reporting provides clear insight with an audit trail of all backup activity.

With end-to-end encryption and immediate access to backed-up data, Vault America ensures high levels of security and availability for business-critical data.

Vault America is proud to offer Broker/Dealers and RIAs firms its compliant services at discounted prices.

As a leading provider of industry compliant data protection and availability services Vault America specializes in on-site and cloud data backup, data recovery, email backup, email archiving, eDiscovery, email recovery, secure file sync and share, disaster recovery, and business continuity solutions.

Helping businesses of all sizes comply with electronic security regulations which mandate safeguards surrounding the backup, privacy, archiving and availability of sensitive information, Vault America will customize a solution for your organization without long-term contracts and excessive volume or revenue commitments.

Services feature immediate access to data, end-to-end encryption, built-in access controls, and detailed reporting providing clear insight with an audit trail of all activity.  Enabling businesses to defeat ransomware attacks while providing high levels of data security and a letter of attestation supports compliance with industry regulations. 

Request a custom quote on our website or email, compliance@vaultamerica.com and schedule a meeting to learn more about the Vault America Preferred Program for BD and RIA firms.

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