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Regulatory Perspectives

Theta Lake’s Controls for the SEC’s 17a-4 Audit Trail Standard

By April 13, 2023No Comments
17a 4 Control Mapping Detail 1
As part of our support for customers adopting the new “audit trail” standard for electronic recordkeeping under the SEC’s modernized Rule 17a-4, Theta Lake has published a mapping of its built-in technical and administrative controls mapped to the new Rule. Theta Lake’s platform includes multiple controls such as audit trail reporting, flexible and customizable retention periods, and regional redundancy of its cloud-based data centers that support the 17a-4 audit trail standard. Notably, Theta Lake meets the audit trail standards by default–customers do not need to enable any additional controls to align to it.
We have published two versions of the 17a-4 audit trail control mappings–one for customers using Theta Lake’s native cloud storage to manage their electronic communications records, and another for customers leveraging a “Bring Your Own Storage” option to manage data. Both documents are available under NDA.
Please contact us for additional information.
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