Secure Document Management for Financial Services
Protect your client financial records, investment data, and transaction files from breaches while maintaining FINRA and SEC compliance.
The Compliance Challenge
Financial services firms face unique document management challenges that require specialized solutions.
FINRA & SEC Compliance
Financial firms must retain client records, transaction data, and communications for up to 7 years. Non-compliance can result in severe penalties and loss of licenses.
Client Data Security
Client financial data is highly sensitive. Data breaches can lead to identity theft, financial fraud, and violation of GLBA privacy requirements.
Audit Readiness
Financial firms must be prepared for surprise audits from regulators, requiring immediate access to years of organized records and transaction histories.
The CorpVault Solution
Purpose-built secure document management for financial services firms and advisers.
SOC-2 Ready & GLBA-Aligned
Our infrastructure is designed to meet SOC-2 compliance requirements and aligns with Gramm-Leach-Bliley Act (GLBA) privacy standards.
Client-Specific Secure Vaults
Organize documents by client, account, or transaction type with individual encrypted vaults, making it easy to manage and access specific information during audits.
Immutable Audit Logs
Track every document access, modification, and sharing event with tamper-proof audit logs that satisfy regulatory requirements and provide evidence during investigations.
Regulatory Retention Policies
Set retention policies that align with SEC and FINRA requirements, ensuring documents are preserved for the legally required timeframes of 5-10 years.
Built for Financial Compliance
CorpVault provides the highest level of security and compliance for your most sensitive financial documents.
Bank-Level Encryption
AES-256 encryption for all stored documents and TLS encryption for data in transit.
Disaster Recovery
Redundant backups and disaster recovery protocols ensure your financial records are never lost.
Role-Based Access Control
Define precisely which team members can access specific client documents or transaction records.
Regulatory Compliance
Built to meet SEC, FINRA, and GLBA standards with comprehensive audit trails and retention policies.