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 […]
As a longtime Cisco partner, we are happy to announce DataParser is now on the Webex App Hub. Cisco’s Webex App Hub is a showroom for partner solutions. Apps, integrations, skills, and bots for Webex products are all available in one marketplace. As an integration partner, DataParser supports both Webex Messaging and Meeting data […]
What’s Happening Text messaging data is the latest challenge for compliance teams. Financial firms are tasked with bringing this new data stream in line with existing email, chat, document, and social media policies and procedures according to SEC, FINRA, CFTC, etc. rules. Mobile communications in the Government and Education sectors are governed by NARA, FERPA […]
While ChatGPT-3 and Generative AI is certainly the talk of Wall Street lately, even causing some firms to prohibit employee use < https://www.retailbankerinternational.com/news/jp-morgan-staff-chatgpt-restriction/https://www.retailbankerinternational.com/news/jp-morgan-staff-chatgpt-restriction/ >, the use of machine learning technologies and algorithmic models by banks and trading firms for business activities is well established. The use of AI-based applications ranges from investment recommendations for clients, […]
Should we archive our meeting and webinar videos? Do we have to turn off file sharing in our chat platform? What do we do about all these large files our users are sharing? These are common questions we hear from clients. Organizations want to allow their users to enable all the features of […]