Financial Services

Exceed customer expectations and always stay compliant with the right BPO supplier.

Who we help

Heads of operations, risk and IT need to make sure information and data handling are as effective as possible and always compliant. Our digital transformation solutions reduce complexity and risk within the highly-regulated financial services sector.

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.

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

Digitization and business process transformation

Most firms are striving to simplify customer and employee interaction and deliver good outcomes. Legacy workflows can become labor and paper-intensive, slowing down processes and exposing opportunities for errors and compliance risks. We have the ability to transform manual tasks into secure, automated workflows for more efficient operations.

Digital mailroom and customer communication

Our digital mailroom solution incorporates digitization but manages these input requirements to meet your daily SLAs. Inputs can be staggered to meet workflow constraints and regulatory requirements. Storing the data in EDMonline™ means records are easily accessible as required, in a form that you can use.

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.