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17a-4 adds Office 365 retention policy and preservation lock audit module to DataParser

July 25, 2018

17a-4 continues to develop DataParser interfaces and features.  The new Office 365 retention policy and lock audit module will help clients maintain compliant environments.    

Millbrook, NY – 17a-4, LLC’s DataParser now has a module to verify Microsoft compliance policies.  D3P (Designated Third Party) and DataParser clients can use it to confirm their Office 365 Security & Compliance retention policies are in place and fully compliant.

17a-4 has transitioned several broker dealers to Microsoft’s Office 365 to meet the regulatory requirements of SEC Rule 17a-4, FINRA 3110 and other financial regulations.  One of the requirements to retain compliance records on Office 365 is to make sure the Preservation Lock feature has been turned on for email, Teams, Skype, Yammer, SharePoint and any other types of records or third-party data.

Leveraging the DataParser software which already captures Teams, Skype and other Office 365 content, 17a-4 has now developed a Microsoft Compliance Policy interface with a Lock Auditor feature.  The application is used to confirm all the retention policies set up in Office 365’s Security & Compliance Center and verify that the Preservation Lock feature is turned on.  Preservation Lock prevents any changes in the policies or the users covered by the policy through to the end of the retention period.

“This new interface allows us to better manage the retention policies and locks for our clients,” offers Douglas Weeden, Director of Compliance and eDiscovery.  “Our D3P services require confirmation of the data being locked in Office 365 and this new DataParser interface will permit better management and controls for this process.”

The Microsoft Compliance Policy and Lock Auditor interface is now available and is being used for all Microsoft Office 365 D3P reviews.