The Challenge
SER Capital Partners — a traditional investment firm — believed their Microsoft 365 environment met SEC record retention standards. It didn’t.
They were unknowingly exposed under SEC Rule 17 CFR Part 210, the same regulation behind $392.75 million in penalties issued in August 2024. With SEC scrutiny tightening, the stakes were high: potential fines north of $10 million, and major operational disruption if records couldn’t be produced on demand.
The Work
We conducted a deep audit of their Microsoft 365 setup — current and historical. From there, we:
- Rebuilt their data retention policies to meet SEC standards
- Implemented automated compliance configurations and audit-ready controls
- Configured audit logs, monitoring alerts, and internal policies
- Delivered regular training to ensure compliance wasn’t just set — it was sustained
All with one goal: give them not just 7 years of retained records, but the ability to produce them within days — not months.
The Outcome
In under 6 months, SER Capital was fully compliant.
Today, they run quarterly compliance checks, and can deliver 7 years of records to the SEC in under 48 hours — a critical shift from exposure to readiness.
What It Meant
By modernizing their Microsoft 365 compliance, we helped SER Capital eliminate the risk of $10M+ in regulatory penalties, strengthen operational oversight, and future-proof their governance model.
Compliance is no longer a liability — it’s a locked-in advantage.