Many of our financial clients have set up Supervisory Policies that allow FINRA registered employees to use Zoom for video but not to use Zoom’s chat feature.  This addresses the concern that written communication is required to be retained in accordance with SEC Rule 17a-4. However, the question is how can a financial institution ‘prove’ […]

The Challenge of Corporate IP Collaboration platforms such as Microsoft Teams, Salesforce’s Slack, Quip, Cisco’s Webex, Fuze and others have become very effective tools for engineering, software development, pharmaceutical, technology and other industries to manage teams that build and develop corporate Intellectual Property (“IP”).  Certainly, many of these platforms will retain these discussions but usually […]

17a-4, LLC, a leader in Collaboration capture software introduces its new website highlighting DataParser. 17a-4, LLC has a new website featuring DataParser and 17a-4 services. The new site adds new content and information for Compliance professionals to research and understand options for compliance and retention best practices. The site incorporates demos, white papers, press releases and regulatory links and is […]