Skip navigation

17a-4 offers a new suite of services for Designated 3rd Party clients

December 18, 2019

17a-4 has created a simplified bundle of services and software for financial institutions.  The suite combines 17a-4’s D3P services with 17a-4 software to provide a comprehensive solution for broker/dealer compliance.

Millbrook, NY – 17a-4, LLC is combining a set of services and software into a suite for smaller financial institutions to easily and cost-effectively address their compliance requirements.  The new D3P suite provides support for critical issues commonly revealed in D3P reviews.  Combining and discounting these services and software greatly simplifies how broker/dealers and other financial institutions may address their significant compliance concerns. Included in the suite are:

17a-4’s Designated 3rd Party services. D3P representation, letters for regulatory filings and archive reviews that include a deep understanding of repositories used for compliance data including:

  • Microsoft’s Office 365 (retention policy and preservation lock monitoring)
  • Azure Blob Storage (file shares and databases)
  • Google’s G Suite, Google Vault and Bucket Lock
  • Amazon Web Services (AWS) Glacier
  • Box

DataParser for Azure Blob storage.  This software provides clients an extremely easy and cost-effective tool for managing the archiving of records in Microsoft’s cloud.

eDisclaimer.  One of the challenges for financial institutions is how to manage their email disclaimer language.  17a-4 provides a service that allows for a URL to be added at the end of a message rather than the full-text of the disclaimer.  17a-4 provides expert witness testimony at no charge for verification that a specific disclaimer was part of an email record.

SEC DeskTop.  The DeskTop is a platform for compliance officers to save many types of compliance documents including HR, financial, supervisory policies and regulatory filings.

“By conjoining these offerings into a single, simple suite,” offers Douglas Weeden, Director of Compliance Services, “compliance teams can quickly have the tools they need to comply with SEC and FINRA regulations for managing and retaining compliance records.”