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Designated Third-Party (D3P) Services

We also provide designated third-party (D3P) services to achieve compliance with Title 17a-4 and other rules for the preservation of electronic records. With a strong knowledge of the regulations and proven best practices in D3P services, we give your compliance organization tremendous insight into your systems along with a host of other valuable features designed to keep your communications compliant.

We provide your D3P service in a reliable and economical way to avoid the potentially significant damage to your firm’s reputation that can result from violations of these requirements. Our service provides the solid proof that regulators demand when determining whether a broker-dealer or commodities trader is in compliance.

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 LiveOffice facility.
  • Cost effectiveness: We implement cost-effective processes to meet your needs.
  • Compliance: We actively monitor compliance rules and regulations and share industry best practices via our LiveOffice News client newsletter.
  • Peace of Mind: With proven history of experience in helping financial services firms meet stringent compliance requirements, LiveOffice is a name you can trust.
 

LiveOffice AdvisorMail specializes in email compliance services, including email archiving, email search and email retrieval with fully indexed email storage. AdvisorMail provides both email and instant message monitoring and archiving for regulatory requirements and e-discovery. AdvisorMail satisfies all SEC and FINRA (NASD and NYSE) regulations, while also meeting SOX, GLBA, HIPAA and FRCP compliance requirements. In addition, AdvisorMail uses enterprise-level technology and multilayer protection to evaluate, detect and block spam emails and computer viruses before they ever get to your inbox. Call us today to learn more: 800.374.2032. ©2010 LiveOffice LLC. All Rights Reserved.