Make The Cloud 17a-4 Compliant — Six Features A D3p Needs To

To bridge the gap between standard cloud storage and strict regulatory requirements, a D3P must offer six essential features:

: Regulators require that all stored data, including emails and electronic communications, be indexed so they can be retrieved and searched immediately. Six Features a D3P Needs to Make the Cloud 17a-4 Compliant

These features collectively ensure that firms can leverage the efficiency of the cloud while satisfying the SEC's mandate for data permanence and accessibility. To bridge the gap between standard cloud storage

: 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. : The core of the rule requires records

: 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.

: While some records require shorter retention, a robust D3P service typically ensures full seven-year access to all data to meet the most stringent FINRA and SEC timelines.