The Company

17a-4 is a compliance services and software company with a focus on e-messaging and archival technologies to meet the regulatory and e-Discovery needs of institutional clients. Clients that are required to adhere to SEC, FINRA and CFTC regulations leverage 17a-4’s expertise to ensure their information infrastructure is in compliance. 17a-4’s architecture provides for a single-point in which all e-messaging content may be managed for retention, legal and regulatory holds and e-Discovery productions.

Since 2001, 17a-4 has assisted institutions to effectively and efficiently manage and mitigate the regulatory risk associated with e-messaging platforms. Our unique strength is combining an extensive knowledge of legal and regulatory requirements, archival solutions and financial industry best-practices.

17a-4 offers a unique combination of expertise with a team comprised of Lawyers, Chief Information Officers, Chief Compliance Officers, Software Developers, Senior Systems Engineers and seasoned Project Managers.  Unlike most compliance consulting companies, 17a-4 has a firm focus on technology and decades of experience working with electronic records and how to retain, manage and dispose of these records.

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