17a-4 llc’s Social Media Capture

 17a-4 llc Provides Free Social Media Capture Service Many institutions are required to capture and monitor social media and web sites.  By using a hosted version of 17a-4’s DataParser for Social Media schools, financial institutions, government agencies and other regulated institutions can now avail themselves of this free option to capture social media public profiles …

17a-4 llc’s Social Media Capture Read More »

17a-4’s Comment on Dodd-Frank

Dodd Frank imposes new recordkeeping, reporting and disclosure requirements on all Investment Advisers, Broker Dealers, and newly deemed Major Swap Participants. In all cases, registered advisers will be required to maintain records relating to their business activities as mandated by Rule 17a-4 of the Securities Exchange Act (Broker Dealers) and Rule 204-2 of the Investment …

17a-4’s Comment on Dodd-Frank Read More »

17a-4 llc’s D3P service now bundles FINRA 3130 tests

17a-4’s Designated 3rd Party (“D3P”) Annual Review service now incorporates FINRA 3130 archive testing which is required as part of a broker / dealer’s annual review.  The combination of annual documentation and testing provides financial institutions a comprehensive archive review for a cost-effective fee. Follow this link to the complete Press Release… http://www.prweb.com/releases/2012/6/prweb9650150.htm  

For DataParser™ Clients: Delayed Posting of Bloomberg® Daily Message Files for 6/26/12

Bloomberg has released notification that there was a delay regarding the posting of daily message files from last night’s daily file delivery, dated June 26, 2012.  Bloomberg expects the files will be posted to their respective FTP sites by 11am EST.  DataParser will pick-up the files, as usual, on tomorrows run.  Another option is to …

For DataParser™ Clients: Delayed Posting of Bloomberg® Daily Message Files for 6/26/12 Read More »

17a-4 llc Offers Legally Enforceable e-Disclaimer™ to Compliance Services Clients

17a-4 is offering e-Disclaimer™, a hyperlinked email disclaimer product, at no additional charge to firms engaged for compliance services. Many of the current hyperlinked disclaimers used in corporate e-messaging cannot provide the required authentication and are not legally enforceable. e-Disclaimer™ addresses these issues with a verifiable link making 17a-4’s solution fully compliant and defensible. Follow …

17a-4 llc Offers Legally Enforceable e-Disclaimer™ to Compliance Services Clients Read More »

17a-4 llc Offers EMC’s Kazeon Solution for In-House e-Discovery

17a-4’s eDis.co division has released a cost effective solution for institutions to bring eDiscovery in-house. Kazeon software and eDis.co resources ease the dependence on out-sourced litigation service providers.   Follow this link to the complete press release… http://www.prweb.com/releases/2012/5/prweb9458816.htm    

17a-4 LLC’s DataParser™ 7.0 for Lync with GroupChat

17a-4 has developed the leading compliant solution for Microsoft Lync with GroupChat. As more companies utilize this interactive communication platform, legal and compliance issues will need to be addressed. The solution for Lync, and many other interfaces, is 17a-4’s DataParser™. Follow this link to the complete press release… http://www.prweb.com/releases/2012/4/prweb9433919.htm