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Meet SEC, FINRA, and SOX requirements with comprehensive activity logs, scheduled compliance reports, and role-based access controls — all included without expensive add-ons or compliance consultants.
$4.9M
Average cost of a financial services data breach
100%
Audit log coverage — every file event captured
CSV
Activity log export format — ready for examiner review
SOC 2
Certified — independently audited security controls
From registered investment advisors to global banks, AXIS CloudSync handles the compliance-sensitive file workflows that regulators scrutinize most.
Meet SEC Rule 17a-4 and FINRA record retention requirements with comprehensive activity logs and role-based access controls. Every file event is timestamped and exportable as CSV for examiner review.
Maintain complete audit trails for Sarbanes-Oxley internal controls documentation. Role-based access ensures only authorized personnel can modify financial records.
Granular activity logs and access controls give your compliance team visibility into file access, sharing events, and user activity across your organization. Filter by user, date range, and action type.
Scheduled and saved reports show exactly who accessed what, when, and from where. Export activity logs as CSV to satisfy FINRA examination requests and internal compliance reviews.
Share account statements, investment reports, and onboarding documents with clients via encrypted, time-limited links — no client portal software required.
Create secure shared folders for M&A transactions, fundraising rounds, and board materials. Granular per-user permissions and Secure Share links control exactly what each party can see and download.
Generic file sharing tools weren't designed for SEC examiners or FINRA audits. AXIS CloudSync was built from the ground up for financial services compliance.
| Feature | AXIS CloudSync | Dropbox | Box | ShareFile |
|---|---|---|---|---|
| SOC 2 Certified | ||||
| FINRA Audit Trail CSV Export | ||||
| Scheduled & Saved Reports | ||||
| Role-Based Access Controls | ||||
| Activity Alerts | ||||
| Secure Share with Enforced Login | ||||
| File Locking | ||||
| No File Size Limits |
AXIS CloudSync was designed with financial services regulations in mind — not retrofitted. Every plan includes the controls that satisfy SEC, FINRA, and SOX requirements without expensive add-ons.
* Based on Axcient infrastructure SLA documentation.
"Our FINRA examiner asked for a complete access log on three files going back 18 months. I had it in their inbox in four minutes. That's the kind of audit readiness that changes how you sleep at night."
Michael Okafor
Chief Compliance Officer, RIA Firm
"We run a secure deal room for every transaction using Team Shares with per-user permissions and Secure Share links. AXIS CloudSync replaced a $2,000/month VDR subscription — same access controls, same audit trail, fraction of the cost."
Jennifer Walsh
Managing Director, Private Equity
"After a competitor's data breach made headlines, our board demanded we review our file security. AXIS CloudSync's SOC 2 certification and comprehensive audit logs were exactly what our risk committee needed to see."
Sandra Kim
VP Risk & Compliance, Regional Bank
Can't find what you're looking for? Call our compliance specialists or browse our knowledge base.
Financial firms need a BAA and comprehensive audit logs for SOX, FINRA, and SEC compliance. Every competitor locks these behind expensive plan upgrades. AXIS CloudSync includes a BAA from the Franchise plan at $18/user/mo — 25–49% less than competitors.
Prices per user/month, annual billing. Based on publicly listed plan pricing as of April 2026.
Join financial services teams who trust AXIS CloudSync for SEC/FINRA compliance, insider threat detection, and secure client document sharing. View our BAA →