Make Broker-Dealer Compliance a Breeze with Laserfiche Vault
Tackle compliance challenges with powerful records retention features, readily available audit reports—all backed by industry-leading AWS cloud security.
With Laserfiche Vault, you can simplify compliance with the most stringent regulatory requirements—including SEC Rule §17a-4.
What is SEC Rule §17a-4?
The SEC Rule §17a-4 is a set of records preservation and retention requirements for registered broker-dealers, which:
Penalties for non-compliance can be enormous, including hundreds of thousands of dollars for failing to meet WORM requirements, or millions of dollars in certain cases.
Support FINRA Audit Compliance
Records Retention
Define record retention policies within Laserfiche Cloud, and automatically track which stage each record is at within its lifecycle.
Records Quality and Accuracy
Use Laserfiche Cloud to detect errors and changes to files, while AWS automatically duplicates data and monitors the health of your data storage.
WORM (Write Once, Read Many)
Preserve records in a non-rewritable, non-erasable format with Laserfiche Cloud’s strict compliance mode.
Audit Reporting
Track activity within the Laserfiche repository, even after records archival and easily export reports for use by auditors.
Records Retention
Define record retention policies within Laserfiche Cloud, and automatically track which stage each record is at within its lifecycle.
WORM (Write Once, Read Many)
Preserve records in a non-rewritable, non-erasable format with Laserfiche Cloud’s strict compliance mode.
Records Quality and Accuracy
Use Laserfiche Cloud to detect errors and changes to files, while AWS automatically duplicates data and monitors the health of your data storage.
Audit Reporting
Track activity within the Laserfiche repository, even after records archival and easily export reports for use by auditors.
What is Laserfiche Vault for Broker Dealers?
Document Management
Document Management
Laserfiche Vault is a solution package that supports your firm’s compliance with SEC Rule §17a-4 using services and cloud-based features that provide a secure and accurate system of record. It includes:
- Laserfiche Cloud records management
- Strict compliance mode for Laserfiche Cloud
Records Management
Serializing Records
Audit Reporting
Automated Retention Tracking
Monitoring data stroage health (EBS) to ensure quality and accuracy
Audit Reporting
Automated Retention Tracking
AWS
Duplicate records in different geographic locationsMonitoring data stroage health (EBS) to ensure quality and accuracy
Records Management
Laserfiche Cloud records management
Automate retention tracking so you know when a record was created, when it needs to be cutoff, when its retention period begins and ends, and when it can enter final disposition. You can even pause a record’s lifecycle to preserve it for use in litigation or audits.WORM
Strict compliance mode fulfills non-rewriteable, non-eraseable requirements
WORM
Support SEC retention requirements at the click of a button
Once a record starts its retention period, the SEC requires that it remain in a non-rewritable, non-erasable format until it’s ready for disposition. With strict compliance mode, broker-dealers can define retention policies that ensure records under retention cannot be modified or deleted for a specified period.Your Laserfiche Vault Compliance Guide
Get more information and a copy of the Laserfiche Vault Compliance Guide for SEC §17a-4. This resource offers a detailed look at the features and tools needed to support compliance with SEC §17a-4.