Designated Third Party (D3P) Compliance Service

Broker-dealer SEC and CFTC compliance.

In 20+ years, we've never failed an audit.

Veritas is ready to handle Rule 17a-4(f)(3)(vii) audits. Instead of risking millions in SEC compliance penalties, trust Veritas to broker your audits with our reliable, affordable and proven solutions.

We simplify compliance filing and reporting.

Our dedicated team works with your network and system administrators to secure all required records.

Minimize Risk

We uncover issues in advance of an audit with a comprehensive systems review.

Ensure Availability

We secure required documentation and ensure continuous data availability.

Maintain Integrity

We perform additional testing to ensure infrastructure integrity on behalf of regulators.

Enjoy D3P support from start to finish.

In addition to processing all documentation the SEC requires, our team provides:

  • A validated System Configuration Plan (SCP)
  • A Letter of Intent, or proof you are working towards a Letter of Undertaking
  • A Letter of Undertaking for the repository
  • An annual update that covers any infrastructure changes
  • An annual test that proves compliance
  • An annual report that verifies our access and service capabilities to regulators

Top financial institutions and investment banks trust Veritas.

Veritas helps top financial institutions meet and maintain strict FINRA compliance requirements to ensure data availability and business continuity across all mission-critical applications.

11 of the top 12

Investment Banks

10 of the top 10

Financial Institutions

Two forms of testing to best meet your needs.

Veritas provides flexible options for regulator-related annual tests of compliance and capabilities.

Onsite Testing

Veritas can send an analyst to your facility to perform on-site testing.

Online Testing

Veritas can access your system remotely online once you provide access.

Optimize your workflow with the Digital Compliance Suite.

Our integrated product portfolio synthesizes intelligence across unstructured data sources to minimize business risk.


Capture all communication data through a single platform.

Enterprise Vault

Automated data capture and information archiving.


Cloud data archive and migration for Microsoft 365 and more.

Talk to an expert today

Discover what Veritas can do for your organization.