Financial Institutions

We support financial institutions to deliver solutions that transform middle office processes, mitigate risk and streamline operations to meet customer needs and expectations.

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Who we help
Heads of operations, risk and IT trust us to deliver effective and compliant processes. We offer a unique set of capabilities backed by decades of experience. We reduce complexity and risk and actively support clients in the financial sector at all stages of their digital transformation journey.
How we add value
Designated 3rd Party (D3P) services: an IT compliance solution
Financial institutions that house their own data must engage a dependable independent third party with technical knowledge and experience to carry out its duties under the Securities Exchange Commission (SEC) Rule 17a-4(f)(3)(vii) requirement. A specific requirement of SEC Rule 17a-4 states: “…every member, broker or dealer exclusively using electronic storage media for some or all of its record preservation” must have an arrangement with a third party who can provide the SEC with access to a broker-dealer’s records upon request. We help financial institutions of all sizes adhere to strict regulations that govern electronic data storage, retention, and IT processes.
Our experts will partner with your IT teams in the setup, maintenance and testing of your solution to ensure compliance with SEC Rule 17a-4.
TrustFlow Digital Solutions has been a trusted Designated Third Party Auditor to Fortune 500 companies for many years. Through our experience handling information critical to highly-regulated industries, our team has developed specific information management and BPO solutions tailored towards the financial market. We understand the key, industry-specific requirements — and most importantly, through our D3P service — our experts can help keep your business compliant for a competitive cost.
Flexibility is the key to TrustFlow Digital Solutions' designated third-party services. Whether it's for a single broker-dealer with one archival system or a Fortune 500 company with multiple domains, lines of business, and locations, our team brings experience to manage a testing system and schedule that works for you. We offer D3P services on-site or remotely.

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Intelligent solutions for financial institutions

TrustFlow Digital Solutions is a trusted supplier and consistently delivers what and when they say they will.

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Helping financial organizations gain a competitive edge and mitigate risk

Our digital transformation solutions for the financial sector are delivered through our wider portfolio of capabilities

Our commitment to digital transformation means our services aren’t limited to just risk mitigation and hosted document management. We are able to provide comprehensive and integrated service through our additional capabilities.

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