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Retention (Rule 17a3 and 17a4)

TurboComplianceSM eliminates the SEC examination risks associated with lost, misplaced, misfiled, deleted or altered email by:

  • Automatically identifying, indexing and sorting all incoming and outgoing communications
  • Automatically filing each message in the proper correspondence file for that particular contact or customer/client (located in the Contact or Client Management module, respectively).
  • As a third party, maintaining all communications for the required period of time, in an un-editable format.

These measures substantially reduce the amount of time the SEC should require to conduct this part of their examination.