17a-4 llc is a compliance software and services company focusing 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, CFTC and other rules and regulations leverage our expertise to ensure their information infrastructure is in compliance.
Since 2001, 17a-4 has assisted institutions with regulatory policy and procedures 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’s teams are comprised of Lawyers, Chief Information Officers, Chief Compliance Officers, Software Developers, Senior Systems Engineers and Project Managers with decades of experience working with electronic records retention, management and disposal. Unlike most compliance consulting companies 17a-4 has a firm focus on technology.
We work with over 500 financial institutions. Our goal in each engagement is to assist with policies and solutions that minimize legal and compliance risk while still allowing you to efficiently leverage e-messaging assets.
Please Contact Us for your Compliance Software & Services needs.