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Managing Bloomberg Files for AI and Copilot

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 […]

Consolidating Messaging for Microsoft’s Copilot Integration

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 […]

Microsoft & 17a-4 Event in NYC

  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 […]

Tomorrow is E-Discovery Day!

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 […]

Text Messaging Compliance and Microsoft’s Intune

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 […]

Zoomtopia starts tomorrow

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 […]

Compliance issues with Meeting Transcripts

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 […]

New features in Zoom and Slack DataParsers

Transcripts – Meeting transcripts can now be collected!   Clients need to enable the Archive API in the Zoom admin portal under the account settings/meeting settings.  The latest version of Zoom is required to enable the workflow collection.  DataParser will attach the JSONs and/or Text files of the full transcripts to outgoing meeting messages. Meeting Summaries […]

FINRA 24-09 Notice – Managing GenAI

On June 27th, FINRA released Notice 24-09 which outlines how firms must manage GenAI (Generative Artificial Intelligence) implementations.  Though GenAI provides powerful new tools, they also create several compliance challenges. First, there are several ways that SEC firms are implementing GenAI but in general it is being driven by the expansion of centrally driven experiments.  […]

Mimecast has added DataParser to Integration & Alliance Partners Marketplace

Our partner Mimecast has added DataParser to their marketplace of available integrations. Mimecast offers a multi-purpose platform that serves the needs of legal, compliance, and IT leaders, providing capabilities for retention, e-discovery, compliance, and supervision.  Like DataParser, Mimecast was designed to help reduce cost, complexity, and risk. “We’re very happy to be included in Mimecast’s […]