Securities firms regulated by the SEC need to address a critical record keeping obligation; the designated third party requirement.
Iron Mountain’s D3P service fulfills the requirements of the SEC and helps securities firms easily maintain compliance for all types of electronic records.
Iron Mountain’s D3P service works with any WORM ( write once, read many) storage application, regardless of whether it is on-premises or in the cloud. Iron Mountain will work with your technical team to develop a System Configuration Plan (SCP) to guide us through your network and access the systems and records we have been asked to cover.
Iron Mountain offers two forms of testing based on which one would be the best fit for the particular needs of the client:
The record types that fall under the rule can be found in 240.17a-4(b)(1)-(13) and include: