17a-4, LLC offers expert guidance on managing email disclaimers. Many financial institutions are using eDisclaimers or links to disclaimer language. However, they typically revise the disclaimer text using the same link which breaks the ‘chain-of-custody’ evidence necessary in litigation.
17a-4’s eDisclaimer service provides a separate link for each disclaimer and embeds a hash-code which proves the actual language at the time that the email was sent. Many financial institutions use this service as it provides air-tight and defensible text. In addition, 17a-4 will provide expert witness testimony to clients that will verify the methodology of our eDisclaimer service.
Many financial clients use this cost-effective service either in conjunction with 17a-4’s Compliance Suite® or Third-Party Access Undertaking services as required by Rule 17a-4(f)(3)(v)(A).
“Technology has changed many aspects of regulatory compliance and requires a deep knowledge of both platforms (i.e. Teams, Slack, Webex, Zoom, Bloomberg, Symphony) as well as the concerns and focus of financial regulators and our eDisclaimer service is one of our offerings which assist the compliance departments of our clients,” offers Charles Weeden, Managing Partner.
17a-4’s DataParser is the leading, independent software to capture collaborative content from these leading chat and document platforms. Building upon this technology and relationships with over 800 regulated institutions, it combines the ease-of-use of these familiar platforms with the complexity of international financial transactions.
“Using these familiar platforms of Teams, Zoom, Slack and Webex for financial transactions allows compliance and IT teams to simplify their architecture under current licensing,” continues Mr. Weeden.