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Keep The Google Workspace User Experience While Complying with regulatory requirements and industry best practices

FINRA 6 - compliant

SEC/FINRA/CFTC Compliance

Comply with the strictest recordkeeping rules like SEC 17a-4(f), including the immutability of stored records thanks to AODocs Compliance Archive module with granular retention & disposition support, and legal and regulatory holds.

FINRA 4 - Right access

Right Access at the Right Time

Ensure high-level security including Single Sign On (SSO), authentication, and granular permissions including metadata-based and workflow state-based permissions.

FINRA 5 - Security

State of the Art Security

AODocs runs on the Google Cloud Platform, leveraging its state-of-the-art security, reliability, and performance, including granular sharing rules, the ability to limit copy download, and exception management.

Engineered for SEC, FINRA and CFTC-Regulated Organizations

Capture and store “books and records” in compliance with the regulatory requirements of SEC Rules 17a-3 and 17a-4.
End-users can enjoy the collaborative experience of Workspace while AODocs seamlessly capture, control, and store all Drive-based content to ensure regulatory compliance. 

Built on Google Cloud Platform

AODocs runs on Google Cloud Platform, leveraging its state-of-the-art security, reliability, and performance. The Compliance Archive module relies on Google Cloud Storage to comply with SEC Rule 17a-4(f), including non-rewritable, non-erasable record format, accurate recording process, duplicate copies of record and metadata stored separately, audit system, and other requirements.

Comply with Evolving Regulatory Guidelines

With the pending certification of AODocs’ Compliance Archive, broker-dealers and other financial services entities will be able to create and preserve records and communications related to their business, for the required retention period in compliance with relevant laws, regulations and industry best practices.

Flexible Document Management and Advanced Business Processes

In addition to Drive-based content, records generated from other systems or received via email/paper can also be stored in AODocs Compliance Archive.

Deliver Superior Security 

Provide comprehensive information security for your customers via encrypted transfers and permission-based access controls. Securely share relevant data to connected business systems like Salesforce.

Achieve FINRA, SEC and CFTC compliance

Use AODocs to turn your information management systems into a regulatory compliant solution, putting immutable storage and a full audit trail in place for your content and communications for full enterprise-grade traceability.

FINRA and SEC Compliance with Google Workspace

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