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Keep The Google Workspace User Experience While Complying with SEC and FINRA Regulations and Guidelines

 

FINRA 6 - compliant

FINRA/SEC Compliance

Comply with SEC Rules 17a-3 and 17a-4 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 Google Cloud Platform, leveraging its state of the art security, reliability and performance, including granular sharing rules, ability to limit copy download, and exception management.

Engineered for FINRA and SEC-Regulated Organizations

Capture and store “books and records” in compliance with the regulatory requirements of SEC Rule 17a-4(b).
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 Rules 17a-3 and 17a-4, including the immutability of stored records.

Comply with Evolving FINRA Guidelines

With the pending certification of AODocs’ Compliance Archive, broker-dealers will be able to create and preserve a comprehensive record of communications that are related to their business,  allowing for books, records, and communications to meet additional FINRA retention guidance, including Release 34-47806, 17 CFR Part 241


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

Achieve FINRA and SEC compliance

Use AODocs to turn your information management systems into an SEC and FINRA compliant solution, putting immutable storage in place for your content and communications for full enterprise-grade traceability.

FINRA and SEC Compliance with Google Workspace

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