17a-4, llc

17a-4, llc/ DataParser provides compliance consulting services (SEC Rule 17a-4) to financial institutions. We also provide our DataParser software which is widely used to capture 3rd party content such as Bloomberg, Symphony, Reuters Eikon, Slack, Cisco Jabber, Quip and Zoom) and formats for archival retention.

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17a-4 Support for Archiving on SharePoint Online

2nd October 2020

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.
17a-4, LLC shares DataParser’s Strategic Direction and Open Architecture

2nd October 2020

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...
Webex Teams DataParser Support

2nd October 2020

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.
Support for Rule 15a-6 and Chaperoned Research

30th March 2020

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.
DataParser roadmap adds Cisco WebEx Teams, OneDrive and SharePoint Online

17th March 2020

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.
Rule 17a-4 Compliance for Algorithmic Trading and Robo Advising Software

3rd March 2020

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...
How Compliance Technology is leading e-Discovery

3rd March 2020

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...
eDisclaimer Management

28th February 2020

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...
DataParser for Office 365 Compliance Policy Management

28th February 2020

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...
17a-4's Compliance Lexicons

26th February 2020

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,...