Many securities firms have overlooked a critical record keeping obligation: the designated third-party (D3P) rule, also known as the SEC Rule 17a-4. Iron Mountain's comprehensive D3P compliance service is available for all types of electronic records, including computer output to laser disc (COLD), back-office, imaged, voice recording and transactional records, as well as email and messaging communications.
You can choose from two distinct options, so you can have the solution that best fits your needs:
Your compliance organization is provided with tremendous insight into your systems.
The service includes:
Your business relies on the intellectual property (IP) you develop to remain competitive in the marketplace. Your intellectual property is at the core of your company. But, as crucial as IP is to companies like yours, it is often poorly managed as an asset.
Ensure the integrity of your IP, and your company’s wellbeing, with IP Development Protection. Prevent others from using your inventions, designs or other creations. Make sure you’re the only person who can monetize or profit from these assets. Theft and illegal use of IP is widespread and results in lost opportunity, unrecovered costs and expensive legal battles.
With Iron Mountain acting as a neutral, trusted third party that protects and manages your IP, a secure technology escrow deposit can be used to document the development of your company’s IP. With our Intellectual Property Development Protection Agreement (IPDPA) we date and time-stamp each deposit so a genealogy of the product is kept on record. Our IPDPA service can provide necessary key evidence of when, how and by whom a technology was developed at a point in time. This independent preservation of your IP by Iron Mountain can significantly strengthen a company’s position in any legal dispute concerning intellectual property rights.
During the discovery phase of litigation, there is an inherent conflict of interest between parties. Defendants must satisfy the discovery requirements of the court, while simultaneously protecting their intellectual property. For plaintiffs, it’s essential that their attorneys and experts gain access to the information necessary to prepare for trial. Our expertise empowers organizations to comply efficiently with discovery compliance provisions related to intellectual property litigation, while simultaneously reducing associated costs, response times and risk of potential exposure.
With Iron Mountain acting as a neutral third party in the discovery process, the IP Litigation Discovery Escrow Service provides a secure and controlled environment that benefits all parties:
Do you know about the Designated Third Party (SEC) rule regarding the preservation of electronic records? This short video breakdowns everything you need to know to maintain compliance.