services for investment advisors

 


You're focused on maximizing returns for your clients and growing your business. Many firms, especially smaller ones, don't have full-time dedicated resources to maintain compliance with an increasingly complex regulatory environment.

Parallax can help.

Parallax has detailed knowledge of the records retention rules and practical experience building retention schedules and electronic records management systems to protect your data using the latest technologies.

Below is a list of services Parallax offers. Contact us for an assessment.

Records Management, Email Retention & Surveillance
(see also our white paper: Five Steps to Record Retention Compliance, by Michael Johngren)

  • Records Management and Retention
    • Review record retention practices against current regulations
    • Advise on best practices
    • Develop custom technology solutions to address issues in search & retrieval
  • Email Management
    • Affordable Retention & Surveillance systems for firms of all sizes
    • Ongoing monitoring services
Technology Strategy
  • Evaluate and recommend technology solutions to fit your firm's needs and budget
  • Buy vs. Build analysis
  • Vendor Management
  • Help align technology infrastructure to compliance goals, always keeping costs under control

 

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