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Included in FivePoints' offering is our third-party
download provider service.
Additionally if you are running an archiving solution with another
provider or internally, FivePoints is equipped with the regulatory
knowledge, technical expertise, and procedural and documentation
skills to enable you to comply with SEC regulation 17a-4(f)(3)(vii).
Capabilities/Components:
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Your firm's messaging archiving environment
will be fully documented |
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Access requirements including username and password
will be recorded and tested |
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Operational Change Management procedures will be available
to maintain accuracy |
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You will grant us legal rights, under certain conditions, to access your data via the documented methods |
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Annual review will be performed to ensure your firm
remains compliant with SEC regulations |
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Notification will be provided to your firm's designated
examining authority |
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