Designated 3rd Party Services (SEC Rule 17a-4(f)(3)(vii))

As required by SEC Rule 17a-4(f)(3)(vii)), we provide both Letters of Undertaking and Notification (Rule 17a-4(f)(2)(i).  We review the platforms which clients use to retain electronic compliance records including email, Sharepoint, IM, social media and financial records.  We have a deep expertise in the types of hardware and platforms which may be configured to support the non-erasable requirements of Rule 17a-4(f) including Microsoft's O365, Google's Bucket Lock and Amazon's Glacier.

We coordinate an annual review in which IT and compliance discuss the archiving platforms and operational procedures to make sure that both teams fully understand how records and created, managed and, eventually, disposed of.

     

Product and service specifications
Charging basis for consultancy work
• Fixed price
Tags:
D3P, 17a-4, Letter of Undertaking, LOU, 3rd Party