SEC & FINRA Compliance Articles

Many financial organizations use Bloomberg downloads to capture Bloomberg messaging for SEC, FCA and FINRA compliance.  Though these processes have been in place for many years, the introduction of AI platforms like Microsoft’s Copilot means that the capture mechanisms in place should be revisited so AI can fully leverage the messaging and market information.  Bloomberg […]

The excitement surrounding AI and Microsoft’s Copilot is now meeting the impasse of siloed content. Though IT teams have been working hard to integrate disparate repositories of data, such efforts often meet with user resistance and licensing. Perhaps the easiest (and fastest) solution is to transfer the critical content from platforms like ServiceNow, Bloomberg or […]

Teams custom emojis and reactions can now be archived with DataParser.  Capturing users’ reactions along with chat content enables context in the Teams conversation.    17a-4’s DataParser, the leading connector for bringing third-party data into archives and eDiscovery systems, has enhanced support for the collection of Microsoft’s Teams with capture of users’ custom emojis and […]

  This event had been postponed.  You can still register to be added to the mailing list to receive the updated event information.   Come join us in NYC next month!   Partners 17a-4 & Microsoft will be hosting an event in New York City in January. This is an in-person event. Please register to […]

The 10th Annual E-Discovery Day hosted by Exterro is happening tomorrow.  Exterro in partnership with the Association for Certified E-Discovery Specialists (ACEDS), the Electronic Discovery Reference Model (EDRM), and eDiscovery Today started E-Discovery Day to highlight the growing importance of e-discovery in the legal process.  The day includes webinars, expert speakers, and in-person happy hours […]

The capture and monitoring of text messaging has been one of the biggest and most frustrating compliance issues of 2024. We work with clients on capture solutions and for many, the costs are disproportionate to the institutional compliance risk. To simplify, we categorize firms into one of two groups.  The firm does not allow business […]

17a-4’s leading eDisclaimer service provides complete ‘chain-of-custody’ evidence for disclaimers on emails, meetings and messaging. A new complementary service, eProspectus, provides the same assurances with prospectuses, disclosures and offer documents. 17a-4, LLC offers a new service, eProspectus, complementing their eDisclaimer service for SEC compliance.  eProspectus extends 17a-4’s hyperlink disclaimer storage services to cover electronic prospectuses, […]

The latest version of DataParser supports the new Webex Suite APIs.  DataParser users can enable the new Webex Suite features and remain in compliance with archiving policies. 17a-4’s DataParser, the leading independent connector solution to bring third party data into archives and eDiscovery systems, supports collection of new Webex Suite features.  Cisco announced Webex Meetings […]

Zoom’s annual event showcases the latest innovations and emerging technologies. Topics covered range from AI to IT highlighting solutions for organizations that focus on increasing productivity, improving team effectiveness, and enhancing skills. Sessions for the Americas are tomorrow and APAC, EMEA, and Japan are on Thursday. Zoomtopia 2024 is a hybrid and global event. Although […]

Meeting transcripts are the latest features to be added to communication platforms such as Microsoft Teams and Zoom. Compliance Officers must assess the benefits and risks to their organizations. In a recent forum on the National Society of Compliance Professionals (“NSCP”), we advised that transcripts (as well as meeting recordings) should be archived separately from […]