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Ensure SEC 17a-4 Compliance with Votacall and Global Relay

In the highly regulated world of finance and other industries, adherence to SEC Rule 17a-4 is essential.

Non-compliance isn’t just a risk—it’s a liability that can lead to steep fines, damage to your reputation, and operational disruptions. That’s why Votacall has teamed up with Global Relay, offering a streamlined solution for businesses to meet SEC 17a-4 standards while optimizing data management and communication.
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What is SEC Rule 17a-4?

SEC Rule 17a-4, established by the U.S. Securities and Exchange Commission (SEC), mandates how financial organizations must handle and retain electronic records. Key requirements include:

  • Retention Duration: Records must be stored for 3–6 years, with the first two years readily accessible.
  • Non-Alterable Format: Data must be preserved in WORM (write-once-read-many) format to prevent alteration.
  • Searchability and Indexing: Records must be indexed and easily retrievable for audits and investigations.
  • Supervisory Oversight: Processes should be in place to monitor communications and ensure compliance adherence.

Compliance with SEC Rule 17a-4 is critical for safeguarding data and meeting regulatory expectations.

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The Financial Risks of Non-Compliance

Failing to comply with SEC Rule 17a-4 can expose your business to significant financial risks:

  • Hefty Fines: Regulators such as the SEC and FINRA impose substantial fines for non-compliance, ranging from thousands to millions of dollars.
  • Legal Fees: Violations may lead to lawsuits and associated legal expenses.
  • Revenue Decline: Non-compliance can harm your reputation, resulting in client attrition and lost revenue.
  • Operational Setbacks: Audits and investigations can disrupt workflows, causing additional financial burdens.
  • Increased Insurance Costs: Companies with compliance issues may face higher insurance premiums due to elevated risk.
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Simplifying Compliance

To address the complexities of regulatory requirements, Votacall and Global Relay have partnered to deliver an integrated solution for seamless communication and compliance. This collaboration combines Votacall’s advanced VoIP technology with Global Relay’s robust data archiving capabilities.

How This Partnership Works

  • Integrated VoIP and Archiving: Votacall’s VoIP systems now integrate directly with Global Relay’s compliance tools, capturing and archiving communications such as calls, voicemails, emails, and instant messages.
  • WORM-Compliant Storage: Global Relay ensures all records are stored in tamper-proof, non-rewriteable formats that meet SEC 17a-4 specifications.
  • Searchable Data for Audits: Indexed records allow for quick retrieval during audits, minimizing stress and delays.
  • Centralized Management: Access and manage all communication data through one secure platform for simplicity and efficiency.
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Benefits of the Votacall and Global Relay Partnership For Your Business

Simplified Compliance

Automatically archive and manage communications in accordance with SEC 17a-4 guidelines—eliminating manual processes.

Enhanced Data Security

Global Relay’s secure, WORM-compliant storage ensures data integrity and mitigates risks of data breaches.

Seamless Audits

Quickly access organized, searchable data to demonstrate compliance during regulatory reviews.

Reduced Risk

Avoid the pitfalls of non-compliance, including hefty fines, reputational harm, and operational disruptions by staying ahead of regulatory requirements.

 Scalability for Your Business

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

Why Choose Votacall and Global Relay?

At Votacall, we recognize that compliance isn’t just a requirement—it’s the cornerstone of trust in regulated industries. By collaborating with Global Relay, we’re equipping businesses to:

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

Don’t let compliance challenges hinder your business operations. Discover how Votacall and Global Relay can help your organization meet SEC 17a-4 requirements effortlessly while simplifying communication and data management.

Get Started Today!