SEC & FINRA Compliance Articles

Come join us in NYC next month!   Partners 17a-4 & Microsoft will be hosting an event in New York City in January. This is an in-person event. Please register to reserve your spot at this event to showcase M365 Purview Connectors.     We look forward to seeing you!  

The 10th Annual E-Discovery Day hosted by Exterro is happening tomorrow.  Exterro in partnership with the Association for Certified E-Discovery Specialists (ACEDS), the Electronic Discovery Reference Model (EDRM), and eDiscovery Today started E-Discovery Day to highlight the growing importance of e-discovery in the legal process.  The day includes webinars, expert speakers, and in-person happy hours […]

The capture and monitoring of text messaging has been one of the biggest and most frustrating compliance issues of 2024. We work with clients on capture solutions and for many, the costs are disproportionate to the institutional compliance risk. To simplify, we categorize firms into one of two groups.  The firm does not allow business […]

17a-4’s leading eDisclaimer service provides complete ‘chain-of-custody’ evidence for disclaimers on emails, meetings and messaging. A new complementary service, eProspectus, provides the same assurances with prospectuses, disclosures and offer documents. 17a-4, LLC offers a new service, eProspectus, complementing their eDisclaimer service for SEC compliance.  eProspectus extends 17a-4’s hyperlink disclaimer storage services to cover electronic prospectuses, […]

The latest version of DataParser supports the new Webex Suite APIs.  DataParser users can enable the new Webex Suite features and remain in compliance with archiving policies. 17a-4’s DataParser, the leading independent connector solution to bring third party data into archives and eDiscovery systems, supports collection of new Webex Suite features.  Cisco announced Webex Meetings […]

Zoom’s annual event showcases the latest innovations and emerging technologies. Topics covered range from AI to IT highlighting solutions for organizations that focus on increasing productivity, improving team effectiveness, and enhancing skills. Sessions for the Americas are tomorrow and APAC, EMEA, and Japan are on Thursday. Zoomtopia 2024 is a hybrid and global event. Although […]

Meeting transcripts are the latest features to be added to communication platforms such as Microsoft Teams and Zoom. Compliance Officers must assess the benefits and risks to their organizations. In a recent forum on the National Society of Compliance Professionals (“NSCP”), we advised that transcripts (as well as meeting recordings) should be archived separately from […]

The new Customer Hub offers an easy approach to DataParser Support.  Clients can open and track tickets as well as access knowledge base articles and technical guides.   17a-4’s DataParser, the leading independent connector solution to bring third party data including Zoom, Slack, Teams and Webex into any archive, eDiscovery or storage solution, offers a […]

Transcripts – Meeting transcripts can now be collected!   Clients need to enable the Archive API in the Zoom admin portal under the account settings/meeting settings.  The latest version of Zoom is required to enable the workflow collection.  DataParser will attach the JSONs and/or Text files of the full transcripts to outgoing meeting messages. Meeting Summaries […]

On June 27th, FINRA released Notice 24-09 which outlines how firms must manage GenAI (Generative Artificial Intelligence) implementations.  Though GenAI provides powerful new tools, they also create several compliance challenges. First, there are several ways that SEC firms are implementing GenAI but in general it is being driven by the expansion of centrally driven experiments.  […]