The Company

17a-4 llc was established in 2001 to address the regulatory requirements facing institutions in today’s corporate environment. Current regulation 17a-4 explicitly outlines the technical requirements for corporate e-mail retention and management. This has spilled over from financial institutions and today we see many regulated verticals such as pharmaceuticals, telecommunications, manufacturing and healthcare. In fact, we believe all institutions will need to address information governance in order to safeguard assets and fortify success.

Our approach bridges Compliance, Legal and Information Technology management. Our goal is to offer comprehensive solutions to best serve an institutions requirements in the most cost-effective and efficient manner. We strive to be a “value added” partner to our clients’ success.

The Team

Charles Weeden is the managing partner of 17a-4 llc.  Mr. Weeden has a long background in document management and electronic communication.  His previous company, Document Technologies, Inc., was instrumental in the preparation of documents in conjunction with the SEC’s EDGAR system.  Document Technologies’ software product, EDGAREase, was used extensively for the EDGAR filings.  Mr. Weeden has served as an expert witness on behalf of the Securities & Exchange Commission.  His professional experience as the head of QV Trading and as CIO of a brokerage firm contribute to 17a-4’s success.  Mr. Weeden is a graduate of the University of California, Berkeley and Fordham University Law School.

Unlike most legal and compliance consulting companies, 17a-4 is, at its core, a technology company.  Our senior team has decades of experience working with electronic records and how to retain, manage and dispose of these records.

17a-4 is comprised of lawyers, software developers, seasoned project managers, Chief Compliance Officers and Chief Information Officers.  With this unique combination of skills at our disposal, we are able to guide our clients through the process of information governance from all relevant perspectives.