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.  […]

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 […]

A new version of Zoom DataParser supports AI Companion and Whiteboards; Zoom Workplace users can enable these features for communication and collaboration without jeopardizing compliance.  17a-4’s DataParser, the leading independent connector solution to bring third party data into archives and eDiscovery systems, supports collection of new features in Zoom.  Organizations streamline communications, increase employee engagement, […]

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 […]

Microsoft Teams features and apps are used for communication and collaboration.  DataParser supports capture of these features so regulated users can take full advantage of Teams and still adhere to governing regulations. 17a-4’s DataParser, the leading independent connector solution to bring third party data into archives and eDiscovery systems, supports collection of new features in […]

17a-4 has developed DataParser to support Movius MultiLine, the AI-powered mobile app for secure business voice, text, and WhatsApp conversations.  The new module for Movius MultiLine data is now generally available.  DataParser, the leading independent connector solution to collect and format third party data for archiving and eDiscovery, has developed the Movius MultiLine connector to […]

DataParser now supports FX Connect.  Users can send their FX Connect data into any archive or eDiscovery system. DataParser has been developed to support collection of FX Connect data.  FX Connect is State Street’s market-leading platform for FX execution, portfolio management and streamlined global operations.  FX Connect simplifies and automates the entire FX trading process […]

  17a-4, LLC offers expert guidance on managing email disclaimers.  Many financial institutions are using eDisclaimers or links to disclaimer language.  However, they typically revise the disclaimer text using the same link which breaks the ‘chain-of-custody’ evidence necessary in litigation. 17a-4’s eDisclaimer service provides a separate link for each disclaimer and embeds a hash-code which […]

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 […]