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Finance-City (4)

Stay SEC 17a-4 Compliant with Votacall and Global Relay

In the highly regulated world of finance and other industries, staying compliant with SEC Rule 17a-4 is non-negotiable. Failure to adhere to these requirements can lead to costly fines, reputational damage, and operational setbacks. That’s why Votacall has partnered with Global Relay—to provide businesses with an effortless way to meet SEC 17a-4 compliance requirements while streamlining communication and data management.

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What is SEC Rule 17a-4?

SEC Rule 17a-4 is a regulation established by the U.S. Securities and Exchange Commission (SEC) to ensure that financial firms maintain and preserve electronic records in a compliant manner. Here are its key requirements:

  • Retention Period: Firms must store records for a minimum of 3 to 6 years, with the first two years in a readily accessible format.
  • Non-Alterable Format: All records must be stored in a format that is non-erasable and non-rewriteable (commonly referred to as WORM format).
  • Searchability and Indexing: Records must be indexed and easily retrievable for regulatory audits or investigations.
  • Supervisory Oversight: Organizations must implement processes to monitor communications and prevent compliance violations.

Compliance with SEC Rule 17a-4 ensures firms meet regulatory standards while safeguarding their data integrity.

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The Financial Risks of Non-Compliance

Failing to comply with SEC Rule 17a-4 can have significant financial implications for businesses:

  • Hefty Fines: Regulatory bodies, including the SEC and FINRA, impose severe fines on firms that fail to meet compliance requirements. These fines can range from tens of thousands to millions of dollars, depending on the severity of the violation.
  • Legal Expenses: Non-compliance can lead to legal disputes and the associated costs of defending your firm in court.
  • Revenue Loss: A damaged reputation resulting from non-compliance can lead to a loss of clients and reduced revenue over time.
  • Operational Disruptions: Regulatory investigations and audits can disrupt daily operations, leading to further financial strain.
  • Increased Insurance Premiums: Firms that fail to comply may see higher insurance premiums as a result of perceived higher risks.
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A Partnership Built for Compliance

Recognizing the growing complexity of compliance, Votacall and Global Relay have joined forces to help businesses manage their communication systems and data archiving requirements seamlessly. This partnership brings together Votacall’s cutting-edge VoIP and unified communication solutions with Global Relay’s industry-leading compliance archiving platform.

How This Partnership Works

  • Integrated VoIP and Archiving: Votacall’s VoIP systems now integrate directly with Global Relay’s compliance tools, capturing and archiving voicemail and messaging.
  • WORM-Compliant Storage: Global Relay ensures all records are stored in a non-alterable format that meets SEC 17a-4 requirements.
  • Searchable Data for Audits: Indexed and easily searchable records via your Global Relay portal will streamline audits and investigations, saving time and reducing stress.
  • Centralized Management: Access and manage all your communication records through the Global Relay platform.
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Benefits of the Votacall and Global Relay Partnership For Your Business

Simplified Compliance

By integrating Votacall’s VoIP solutions with Global Relay’s compliance platform, your business can automatically capture, store, and manage communications in line with SEC 17a-4 guidelines—no manual effort required.

Enhanced Data Security

Global Relay’s state-of-the-art WORM-compliant storage ensures your records are tamper-proof, reducing the risk of accidental or intentional data loss.

Seamless Audits

Easily retrieve and present indexed data during audits or regulatory investigations, demonstrating your commitment to compliance.

Reduced Risk

Avoid hefty fines and reputational damage by staying ahead of compliance requirements with this all-in-one solution.

Scalability for Your Business

As your business grows, this solution scales with you, offering flexibility and reliability across all communication channels.

Why Choose Votacall and Global Relay?

At Votacall, we understand that compliance is more than a checkbox—it’s the foundation of trust in your industry. By partnering with Global Relay, we’re enabling businesses to:

  • Streamline communication workflows.
  • Eliminate compliance fines and stress.
  • Stay focused on growth while meeting stringent regulatory standards.

Don’t let compliance challenges and financial implications hold your business back. Learn more about how the Votacall and Global Relay partnership can keep your organization SEC 17a-4 compliant while simplifying communication and data management.

Get Started Today!

 

Votacall, Inc

1504 Providence Highway Suite 19
Norwood, MA 02062
Call us: 866-303-8600
Email: corporate@votacall.com

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