SEC & FINRA Compliance Articles

DataParser now supports FX Connect.  Users can send their FX Connect data into any archive or eDiscovery system. DataParser has been developed to support collection of FX Connect data.  FX Connect is State Street’s market-leading platform for FX execution, portfolio management and streamlined global operations.  FX Connect simplifies and automates the entire FX trading process […]

  17a-4, LLC offers expert guidance on managing email disclaimers.  Many financial institutions are using eDisclaimers or links to disclaimer language.  However, they typically revise the disclaimer text using the same link which breaks the ‘chain-of-custody’ evidence necessary in litigation. 17a-4’s eDisclaimer service provides a separate link for each disclaimer and embeds a hash-code which […]

WORM archives for regulated firms can become quite large and when the move to a new platform is needed, migration and compliance are the two main topics.  One can easily argue for full migration of all archived data but if you have experienced a migration, you know all too well they are often long, difficult, […]

Webex Connect has been added to the DataParser roadmap.  The new Webex Connect module is slated for Q1 2024.     17a-4, LLC has added Webex Connect to the development roadmap.  Cisco is a longtime partner of 17a-4 with Jabber and Webex integrations.  DataParser is a leading compliance solution to bring third-party data into any […]

Over the past three years, 17a-4 LLC has worked extensively with Broker-dealers to provide 3rd Party Collateral Administration services in support of their Fully Paid Stock Lending (“FPL”) programs. We continue to strengthen our compliance services to Broker Dealer FPL Programs and partner custodian banks to ensure regulatory compliance with SEC Rule 15c3-3. On July […]

Today is Compliance Officer Day.  A day to celebrate Compliance teams and all the hard work they do!   Since 2016 National Compliance Officer Day is celebrated to bring recognition to the hard work of compliance teams.  Compliance officers make sure their organizations obey external and internal regulations.  It’s a complicated and often thankless job […]

NSCP National Conference Dallas, Texas October 16th -18th The National Society of Compliance Professionals is a nonprofit membership organization dedicated to serving and supporting compliance professionals in the financial services industry. NSCP is “For Compliance, By Compliance.” NSCP membership provides the financial services professional with a wide range of resources including a vast network of […]

Between feature requests from clients and new features being rolled out in supported data sources, we are continuously improving DataParser!    As always, we are client driven in our approach.  Clients can submit feature requests for formatting, processing and operational changes to DataParser at any time.  As long as technically possible, we will include each […]

Deploying chat, text and collaboration platforms for government agencies brings a host of challenges but the most crucial component is security.  Federal, State and Local governments have a responsibility to ensure communications and documents are managed securely; impervious to both outside attacks and disreputable internal acts. All public sector agencies have some form of regulation […]

As a longtime Cisco partner, we are happy to announce DataParser is now on the Webex App Hub.    Cisco’s Webex App Hub is a showroom for partner solutions.  Apps, integrations, skills, and bots for Webex products are all available in one marketplace. As an integration partner, DataParser supports both Webex Messaging and Meeting data […]