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.
Our goal is to assist with compliance policies and procedures that minimize risk and leverage e-messaging assets and technologies.