Letters of Representation & Undertaking

Registered financial firms like yours must submit notice to the SEC and FINRA when you opt to use a third-party email archiving and compliance system to fulfill electronic communications regulations. This notice comes in the form of Letters of Attestation and Undertaking, which are also commonly referred to as “Third-Party Downloader” letters. We understand that these letters are an important part of the written policies and procedures required by the SEC and FINRA. They serve as proof that your data is being stored by a third party and meeting compliance standards, including WORM storage and easy accessibility.

We provide these letters once you sign a contract with LiveOffice. We complete these letters and address them to the SEC and FINRA, so you can send them directly to the regulators.