Compliance support for highly regulated industries

Intermedia cloud services help you address compliance, security and privacy requirements as you move business-critical and sensitive information into the cloud. We make it easy for administrators to protect your users and your business through templates and built-in controls across our services.

Regulatory compliance

Intermedia security and privacy controls address a wide range of financial services regulations. The tables below describe how Intermedia services can help you address these regulations.

Read how Intermedia can help you comply with the GDPR’s requirements here.

Relevant section/topic Compliance Requirements How We Can Help
Books and records (Rule 3110) Correspondence must be maintained in compliance with applicable FINRA rules and Securities Exchange Act of 1934 Rules 17a-3 & 17a-4.
Also specifies supervisory procedures for the review of correspondence between individual representatives and the public.
  • Secure, low-cost & long-term storage.
  • The storage platform supports and indexes relevant data types and formats.
  • Role-based permissions for accessing archive.

This summary does not purport to list, nor should it be interpreted as stating that Intermedia addresses, all legal requirements related to data storage and retention. Compliance with FINRA, SEC, HIPAA and other applicable laws is complex and multi-faceted and is ultimately the responsibility of each entity that is subject to those laws.

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