THE REGULATION
To fully comply with SEC Rule 17a-4, broker-dealers must establish a relationship with
a third-party provider that can independently provide the SEC (and other regulatory
bodies) with access to the broker-dealer’s records upon request. This designated third-party requirement ensures that the broker-dealer’s records are accessible to securities regulators.
US-ANALYTICS ROLE
As a designated third-party (D3P) provider, US-Analytics satisfies the record-keeping
requirements of Rule 17a-4 under the Securities Exchange Act of 1934:
- The filing of a letter of undertaking with the Designated Examining Authority(s) (DEA)
- The download of and access to any records requested by the SEC or FINRA on an appropriate electronic storage medium
- Regular testing and documentation of records access
US-ANALYTICS D3P SERVICES
US-Analytics provides a full-service response to an SEC licensed broker-dealer. These services include:
- Documentation
- Full and complete confidentiality
- Submission of undertaking agreement to the client’s Designated Examining Authority
- An experienced and unobtrusive team dedicated to client’s compliance needs regarding electronic communications and data archiving
- Annual audit report to confirm compliance
- Optional services for upgrades, health checks or remote monitoring and application management
- Optional ePolicy training to help members of organization use their tools more efficiently
- Optional remote or on-site eDiscovery services
US-ANALYTICS QUALIFICATIONS
Experience: Experienced consultants have been providing D3P services since 2003.
Cient Focus: A team who understands both the regulations and business needs as well
as the technology - a combination that saves clients time and money
ABOUT US-ANALYTICS
US-Analytics offers professional services to the world’s leading corporations in Operational Infrastructure (OI), Performance Applications (PA), and Continuity Services (CS). For a decade, companies have trusted US-Analytics to solve
complex business problems, drive managerial excellence, and deliver operational
agility.
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