Team with Iron Mountain to achieve compliance with Title 17a-4 and other rules for preservation of electronic records. With a strong knowledge of the regulations and proven best practices in D3P services, Iron Mountain will provide your compliance organization with tremendous insight into your systems along with a host of other valuable features designed to keep you compliant.
Choosing Iron Mountain to provide your designated third party service is a reliable and economical way to avoid the potentially significant damage to your firm’s reputation that can result from violations of the designated third party requirements of Rules 17a-4 and 1.31. Iron Mountain’s D3P service provides the solid proof that regulators demand when determining whether a broker/dealer or commodities trader is in compliance.
The deliverables: analysis, validation and peace of mind
When you partner with us for D3P service, you receive the full range of benefits necessary to feel confident about your compliance:
- Safety and security — Your records are accessed only at your site or at a secure Iron Mountain facility.
- Cost-effectiveness — Iron Mountain implements cost-effective processes to meet your needs.
- Compliance — Iron Mountain actively manages its services to reflect industry best practices in order to ensure compliance.
- Trust — Iron Mountain is a name you can trust.
Choose from three different D3P service options:
- D3P Onsite Access — Brings Iron Mountain D3P experts to your facility to access your records.
- D3P Online Access — Gives Iron Mountain secure remote access to your records.
- D3P Independent Access — Enables retrieval of your records at our secure facility using your removable WORM media.
Support for your entire range of applicable record types
Our comprehensive D3P services can support any type of electronic records covered by regulations, including COLD, back-office, imaged, transactional, email and other messaging systems. And our services are designed to work with any application, on any WORM storage media, on any operating system. Move forward to a new level of compliance and peace of mind with the provider more broker/dealers rely on than any other: Iron Mountain.