SEC & FINRA Compliance Articles

Legalweek ran from Jan. 29th through Feb. 1st and, thankfully, New York did not greet our out-of-town guests with a nor-easter, garbage strike or other Big Apple unwelcome.  Mid-Manhattan was delightful and back in full-swing, post-Covid and from the upbeat tenor of the event, everyone was having a great time. Now as for the inside […]

Legalweek (formerly LegalTech) is next week and topics will range from AI to Data Governance.  One key takeaway for in-house legal teams will be how to control more of the eDiscovery process and better manage the associated costs. Legalweek runs from Jan. 29th through Feb. 1st and provides in-house counsel with the opportunity to reconsider […]

17a-4 has developed DataParser to support Movius MultiLine, the AI-powered mobile app for secure business voice, text, and WhatsApp conversations.  The new module for Movius MultiLine data is now generally available.  DataParser, the leading independent connector solution to collect and format third party data for archiving and eDiscovery, has developed the Movius MultiLine connector to […]

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 […]