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17a-4, llc now provides Monitoring Services for archive management

March 28, 2013

17a-4’s Monitor Services program provides for a “hands off” approach to archive governance. Companies that use 17a-4’s Monitor™ software and services can leave the daily management of their archive to certified 17a-4 archive engineers.

March 27, 2013 Millbrook, NY — 17a-4 llc’s software and services have been used by leading institutions, since 2001, to cost effectively govern corporate communications. 17a-4’s Monitor™ software addresses the health and compliance of an archive; overseeing archive processes to recognize potential issues. 17a-4 now offers an extension of this software with Monitoring Services for ongoing archive support. 17a-4 assumes responsibility for managing the archive by leveraging the Monitor™ software. This software provides compliance as an audit/regulatory system “providing for accountability regarding inputting of records.” (Rule 17a-4).

17a-4’s Monitor™ software continually checks the key components of the archive server. It provides for tracking of Windows® services, drive space, event error logs, downloads and source counts of messages. Automatic trigger settings established by administrators provide daily email message alerts. Monitor also boasts a user friendly Web interface, for viewing live and historical data.

17a-4’s Monitoring Services goes to the next level of support by placing the daily responsibility of the archive onto 17a-4 engineers. Upon engagement, a 17a-4 engineer reviews and documents the archive environment, provides software updates and proactively resolves any ongoing software and database issues. 17a-4’s Monitoring Services clients can prevent their archive from falling out of compliance by addressing potential problems in a timely manner.

“One of the challenges for clients with in-house archives is the time it takes to monitor and to make sure that all of the data that needs to be ingested into the archive each day has been successfully archived. Most major institutions bring in content from multiple sources including IMs, Bloomberg, Microsoft Lync, Cisco Unified Presence and SQL databases. Missing an upload from any of these sources could mean that data is missing in the archive. This is a major responsibility for in-house IT teams, but with the Monitor software, 17a-4 will check that all of the sources are uploaded nightly and if there is a problem, we can respond in a timely manner so that no data is lost. Our Monitor service has been a major factor for many institutions to keep an in-house archive and save money rather than out-source.” says Allison French, VP of Project Management

About 17a-4 llc:
17a-4 llc is an e-messaging compliance and litigation firm with a focus on technology development. 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.

Services include:
• archive implementations/migrations
• compliance policy/procedures consultations
• software installation/configuration/support/training
• SEC designated third party/letter of undertaking

For more information Monitor™ and Monitoring Services please contact, call (212) 949-1724 or visit Extensive e-discovery services are handled by 17a-4’s division. 17a-4 and are based in New York City but operate remote offices nationwide.