SEC & FINRA Compliance Articles

17a-4 LLC joins Microsoft at LegalTech this week as they announce new features in Office 365’s Security & Compliance Center.  Supervision, Lexicons, Labels and Reporting are important additions to the Office 365 compliance suite. Millbrook, NY – Microsoft will be introducing some of the new features in Office 365’s Security & Compliance Center at LegalTech […]

By Douglas Weeden, Esq., 17a-4 LLC DECEMBER 2018 The production of electronically stored information such as instant messaging and other forms of real-time communication, is now routine for enterprises verifying regulatory compliance or responding to civil litigation. While corporate legal and compliance departments dutifully recognize this shared responsibility, they rarely are aligned when it comes […]

17a-4 developed a module of the DataParser to audit and lock Office 365 retention policies.  The DataParser for Office 365 policies is now included in 17a-4’s D3P service to help clients maintain compliant environments.       Millbrook, NY – 17a-4, LLC has improved Designated Third Party services for Office 365 clients using DataParser’s new module to […]

17a-4 continues to enhance DataParser features for all supported interfaces.  The new version of the DataParser is now in beta testing.     Millbrook, NY – 17a-4, LLC’s DataParser is a leading compliance solution to collect regulated data for retention in an archive.  A new version of the DataParser is now in beta and undergoing extensive […]

17a-4 continues to develop DataParser interfaces and features.  The new Office 365 retention policy and lock audit module will help clients maintain compliant environments.     Millbrook, NY – 17a-4, LLC’s DataParser now has a module to verify Microsoft compliance policies.  D3P (Designated Third Party) and DataParser clients can use it to confirm their Office 365 […]

17a-4 announces DataParser for Slack.  DataParser clients can now bring Slack communications into any compliance archive. Millbrook, NY – 17a-4, a software and services company enabling regulated clients to comply with SEC, FINRA and CFTC requirements, has announced its widely used DataParser now integrates with Slack.  DataParser is the leading on-premise compliance solution to collect […]

The new integration allows clients to supervise data in compliance with regulations and gain valuable insight into communications.  Analysis of sentiment, language and key phrases are supported. Millbrook, NY – 17a-4, LLC, a software and services company that enables regulated clients to comply with SEC, FINRA and CFTC requirements, has announced its widely used DataParser […]

Announcing the General Availability of the Teams DataParser.  The new module supports the collection of Microsoft Teams chats and channels. Millbrook, NY – 17a-4’s DataParser for Microsoft Teams is now available.  DataParser is the leading on-premise compliance solution to collect regulated data for retention in an archive.  Microsoft Teams is the new Office 365 chat-based […]

17a-4 has been analyzing the effects of email disclaimer language on compliance archives and supervision systems since 2015.  Recent findings regarding the percentage of email message body text which constitutes disclaimer language shows a dramatic 75% increase over the past 3 years.  Millbrook, NY – In February of 2015, 17a-4 LLC analyzed a sample of […]

17a-4 has released the Teams DataParser into Beta.  The new module supports collection of Microsoft Teams chat and channel data. Millbrook, NY – 17a-4’s DataParser for Microsoft Teams is now in Beta.  DataParser is a leading compliance solution to collect regulated data types for retention in an archive.  Microsoft Teams is the new chat-based workspace […]