17a-4 offers a new suite of services for Designated Third Party clients
MILLBROOK, N.Y., Dec. 18, 2019 /PRNewswire-PRWeb/ -- 17a-4, LLC is combining a set of services and software into a suite for smaller financial institutions to easily and cost-effectively address their compliance requirements. The new Designated 3rd Party (D3P) suite provides support for critical issues commonly revealed in D3P reviews. Combining and discounting these services and software greatly simplifies how broker/dealers and other financial institutions may address their significant compliance concerns.
Included in the suite:
-- 17a-4's Designated 3rd Party services. D3P representation, letters for regulatory filings and archive reviews that include a deep understanding of repositories used for compliance data including: -- Microsoft's Office 365 (retention policy and preservation lock monitoring) -- Azure Blob Storage (file shares and databases) -- Google's G Suite, Google Vault and Bucket Lock -- Amazon Web Services (AWS) Glacier -- Box -- DataParser for Azure Blob storage. This software provides clients an extremely easy and cost-effective tool for managing the archiving of records in Microsoft's cloud. -- eDisclaimer. One of the challenges for financial institutions is how to manage their email disclaimer language. 17a-4 provides a service that allows for a URL to be added at the end of a message rather than the full-text of the disclaimer. 17a-4 provides expert witness testimony at no charge for verification that a specific disclaimer was part of an email record. -- SEC DeskTop. The DeskTop is a platform for compliance officers to save many types of compliance documents including HR, financial, supervisory policies and regulatory filings.
"By conjoining these offerings into a single, simple suite," offers Douglas Weeden, Director of Compliance Services, "compliance teams can quickly have the tools they need to comply with SEC and FINRA regulations for managing and retaining compliance records."
For more information visit 17a-4.com.
About 17a-4 LLC:
17a-4 is a compliance services and software company with a focus on solutions to meet regulatory and e-discovery needs of institutional clients. Clients leverage 17a-4's expertise to ensure information infrastructures comply with SEC (Rule 17a-4), FINRA and CFTC (Rule 1.31) regulations. 17a-4 services include Designated Third Party and books and records reviews.
17a-4 products include DataParser for messaging compliance and the SEC DeskTop a hosted platform for SEC and FINRA documents and regulatory workflows. 17a-4's architecture provides for a single-point in which all e-messaging content may be managed for retention, legal and regulatory holds and e-discovery productions.
17a-4 is based in New York.
All product and company names herein may be trademarks of their registered owners.
SOURCE 17a-4 LLC