THIRD-PARTY DOWNLOADER

Make your records accessible to regulators

Established to ensure that a broker-dealer’s records are accessible to regulators, the SEC’s “designated third-party” requirement carries severe penalties for non-compliance.

In 1993, Iron Mountain became the first firm to develop a set of best practices and file a third-party undertaking in accordance with the new rule. Today, more broker-dealers – including six of the nation’s top 10 firms – depend on our Designated Third Party (D3P) service than any other to ensure compliance.

Support for diverse types of records

Benefits of our D3P services include:

• Safety and security - all tests related to our D3P service are conducted in Iron Mountain’s secure facilities or at the client’s site, and then archived in Iron Mountain’s state-of-the-art electronic media vaults, constructed specifically for storing digital media.
• Cost-effectiveness - Iron Mountain works with securities firms to implement cost-effective and operationally sound processes that meet the firm’s needs, while complying with all applicable regulatory requirements.

Choose from three different D3P service options:

• D3P Independent Access - enables independent retrieval of electronic records by Iron Mountain from your WORM Electronic Storage Media (ESM).
• D3P On-Line Access - enables remote access by Iron Mountain to your archive systems for e-records.
• D3P On-Site Access - brings Iron Mountain’s compliance experts to your facility to retrieve records from your archive ESM.