Six Features A D3p Needs To Make The Cloud 17a-4 Compliant ⟶ < CERTIFIED >

: The core of the rule requires records to be stored in a format that cannot be edited or deleted during the retention period.

: The D3P must provide four specific documents to prove compliance: A Service Level Agreement (SLA). The 17a-4 Third Party Storage Provider Letter. The 17a-4 Broker-Dealer Letter. A formal Disaster Recovery procedure outline. Six Features a D3P Needs to Make the Cloud 17a-4 Compliant

: Regulators require that all stored data, including emails and electronic communications, be indexed so they can be retrieved and searched immediately. : The core of the rule requires records

: The D3P must possess the technical tools to access and download a firm’s data archive in a format that is readable by auditors at any time. including emails and electronic communications