Online meetings have become a very effective civic engagement tool. Citizens can view government meetings and participate in community discussions that they might otherwise not be able to join. Zoom meetings have become a standard platform for these meetings. However, preserving these meetings has become both technically and financially challenging for local and state agencies. […]
Data exports can be a great way to bring data into compliance. DataParser has modules designed specifically to handle exports from third-party data sources. Clients have used DataParser to process exports of users’ data from platforms like Slack Business, LineWorks, WhatsApp, Global Relay Text and Advisor360. DataParser is developed to collect data directly from the […]
In the complex, constantly changing world of the energy industry, effective communication is crucial. From coordinating trades to managing risk, every decision must be made quickly and with confidence. In recent years, the industry has witnessed a significant transformation in the way professionals communicate, whether trading exchange-listed futures or OTC-cleared products, with the increasing popularity […]
Legalweek ran from Jan. 29th through Feb. 1st and, thankfully, New York did not greet our out-of-town guests with a nor-easter, garbage strike or other Big Apple unwelcome. Mid-Manhattan was delightful and back in full-swing, post-Covid and from the upbeat tenor of the event, everyone was having a great time. Now as for the inside […]
WORM archives for regulated firms can become quite large and when the move to a new platform is needed, migration and compliance are the two main topics. One can easily argue for full migration of all archived data but if you have experienced a migration, you know all too well they are often long, difficult, […]
Over the past three years, 17a-4 LLC has worked extensively with Broker-dealers to provide 3rd Party Collateral Administration services in support of their Fully Paid Stock Lending (“FPL”) programs. We continue to strengthen our compliance services to Broker Dealer FPL Programs and partner custodian banks to ensure regulatory compliance with SEC Rule 15c3-3. On July […]
Today is Compliance Officer Day. A day to celebrate Compliance teams and all the hard work they do! Since 2016 National Compliance Officer Day is celebrated to bring recognition to the hard work of compliance teams. Compliance officers make sure their organizations obey external and internal regulations. It’s a complicated and often thankless job […]
NSCP National Conference Dallas, Texas October 16th -18th The National Society of Compliance Professionals is a nonprofit membership organization dedicated to serving and supporting compliance professionals in the financial services industry. NSCP is “For Compliance, By Compliance.” NSCP membership provides the financial services professional with a wide range of resources including a vast network of […]
Between feature requests from clients and new features being rolled out in supported data sources, we are continuously improving DataParser! As always, we are client driven in our approach. Clients can submit feature requests for formatting, processing and operational changes to DataParser at any time. As long as technically possible, we will include each […]
Deploying chat, text and collaboration platforms for government agencies brings a host of challenges but the most crucial component is security. Federal, State and Local governments have a responsibility to ensure communications and documents are managed securely; impervious to both outside attacks and disreputable internal acts. All public sector agencies have some form of regulation […]