17a-4, llc

Many institutions retain compliance records on SharePoint Online (M365). However, these often need to be brought into an email archive for both supervision and eDiscovery. The DataParser interface allows for many types of SharePoint content to be captured and formatted maintaining the critical 'chain of custody' necessary for eDiscovery.

As many middleware companies are being bought by archive companies, our clients and partners have asked for clarification as to our corporate strategy. This document provides assurances to both content providers (Symphony, Salesforce, Cisco, Microsoft and others) as to our commitment to remaining an independent and neutral facility for capturing...

Continuing to build interfaces which our clients need for regulatory supervision and retention, we have developed the interface for Cisco's Webex. This complements our support for Cisco's Jabber/ IM&P platform. Over 800 financial institutions use the DataParser to capture many types of messaging/ collaboration content.

The SEC DeskTop provides a fully-integrated workflow for international Rule 15a-6 / Chaperoned research compliance. International financial institutions may email in a research report which will then be reviewed, indexed and archived as required by both SEC Rule 15a-6 and SEC Rule 17a-4.

The DataParser is a leading middle-ware program to capture many types of content and format for archival or eDiscovery retention. We are currently developing our interfaces for Cisco WebEx Teams, Zoom, OneDrive and SharePoint Online.

We are seeing an increased regulatory focus on the preservation of trading and robo advising algorithms. For instance, if a robo advisor advises a particular purchase, the code behind that recommendation needs to be retained and available if called upon by a regulator. Software developers have systems but often the question as to what code was...

Article in WestLaw describes how the tools that compliance uses to comply with supervisory regulations such as FINRA 3110 complement the legal's team's requirements for eDiscovery. The partnership - compliance and legal - together have complementary responsibilities but sharing a legal risk-management strategy can prevent many eventual legal...

Disclaimers have become problematic for most financial institutions. They contain many of the words and phrases which are flagged by compliance systems and they are long and waste space on email and archive servers. The SEC allows disclaimers to be managed as hyperlinks which address the problems above, but in order for them to be admissible as...

Leveraging the DataParser software which already captures Teams, Skype and other Office 365 content, 17a-4 has developed a Microsoft Compliance Policy interface with a Lock Auditor feature. The application is used to confirm all the retention policies set up in Office 365’s Security & Compliance Center and verify that the Preservation Lock...

Many financial institutions have a requirement to monitor messaging activities and flag messages that might indicate a violation of business conduct or policies. In order to help our clients, we provide a list of compliance lexicons which may be incorporated into Microsoft's O365 or other supervisory systems. For instance, if WhatsApp, WeChat,...