17a-4

About 17a-4

17a-4 llc was established to address the expanding regulatory requirements imposed on financial institutions. 17a-4's approach bridges Compliance, Legal and Information Technology management to offer comprehensive compliance solutions for regulated content including email, instant messaging, data streams, trading platforms, websites, social media and databases. Financial institutions have a complex web of regulations and technologies to manage in order to stay in compliance. 17a-4 works with over 500 financial institutions and participates in many regulatory discussions and compliance examinations; as such, have a deep understanding as to the financial industry’s best practices. 17a-4 works with Compliance and IT teams to advise how best to archive content and exactly content needs to be retained. 17a-4's Designated Third Party Service provides Letters of Notification (SEC Rule 17a-4(f)(2)(ii)), Letters of Undertaking (SEC Rule 17a-4(f)(3)(vii)) and CFTC Letters under 17 CFR 1.31. 17a-4's software products are used extensively by institutions that have regulatory or internal policies requiring e-messaging retention. The DataParser is the leading on premise middleware solution for messaging compliance. It’s lightweight with a modular design to collect many forms of regulated content for compliance with SEC and FINRA rules. Bloomberg, Cisco Jabber, Reuters Eikon Messenger, SharePoint, Skype, Skype Online, FactSet, InvestEdge and more can all be collected with one easy solution. Designed to integrate easily into any existing infrastructure, the DataParser can run multiple configurations for more complex environments. Collected data is formatted and delivered to Office 365, Exchange or an email archive to create a single point of compliance management, discovery and supervisory procedures. 17a-4 is based in New York City but operates remote offices nationwide.

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