SEC

DCS Assists with FINRA & SEC Backup Compliance

The Securities and Exchange Commission (SEC) and the National Association of Securities Dealers (NASD) have instituted mandatory compliance rules and regulations affecting the storage of financial records by any financial institution or advisory groups dealing with securities..

The Financial Industry Regulatory Authority (FINRA) is the non-profit organization designed to regulate securities firms and stockbrokers to ensure that customer, market and transaction data remains private, secure and continuously available. FINRA is the largest independent regulator for all securities firms doing business in the United States.

DCS Backup offers a cost effective, secure method for firms to reduce downtime, minimize the risk of data loss and satisfy FINRA compliance issues. DCS Backup's comprehensive backup solutions provide a secure, offsite data storage facility to meet these strict government regulations and comply with increasingly rigorous audit requirements.

By taking the cost and complexity out of data protection and regulatory compliance, DCS Backup provides financial service firms peace of mind and better service levels. That's why customers rely on DCS Backup as a trusted protector of their data. At DCS Backup we share your expectations for service and quality. Backed by an experienced service team that appreciates the importance of the security of your clients' data, DCS Backup is the best solution for a complicated issue.

DCS Backup enables clients to comply with these regulations by providing the following data storage and security measures. DCS Backup's secure, offsite backup solutions offer these critical compliance features:

  • Automatic verification of the quality and accuracy at the end of every backup.

  • Backup data is encrypted using 256-bit AES encryption before transmission and is always maintained in an encrypted state until restored to the client servers.

  • Data access is restricted to authorized personnel with a self-created encryption passcode known only to the user (not even DCS Backup has a copy.)

  • Fully automated backups scheduled by the user with daily verification and email notification that every backup has completed successfully.

  • Data is stored offsite in redundant, high security class-A data Network Operation Centers and data can be restored to any location, 24/7.

  • Our customer service team is available around the clock. Daily backup audits and confirmation e-mails with summary transfer logs assure the integrity of every data backup set to provide a clear audit trail if necessary.