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Location Office Head Office

15 Breeze Hill
Millbrook
NY
US

Telephone

212-949-1724

Contact

Charles Weeden
[email protected]

Designated 3rd Party Services (SEC Rule 17a-4(f)(3)(vii))

As required by SEC Rule 17a-4(f)(3)(vii)), we provide both Letters of Undertaking and Notification (Rule 17a-4(f)(2)(i).  We review the platforms which clients use to retain electronic compliance records including email, Sharepoint, IM, social media and financial records.  We have a deep expertise in the types of hardware and platforms which may be configured to support …

DataParser captures 3rd party content for archival retention

DataParser is the leading middleware tool to capture content for regulatory compliance. It is a simple, cost-effective software tool that preserves the integrity and 'chain of custody' of the messages so that it may be used in either a regulatory production or in litigation. The DataParser supports: Bloomberg Blackberry Symphony Reuters Eikon Slack Cisco Jabber …

Disclaimer Management (eDisclaimer)

If you add disclaimer language to an email, then: You add over 30% more content to your archive You add words which are often flagged by supervision systems causing many false positives If you hyperlink the disclaimer so as to get a long or multi-lingual disclaimer attached to your email, then: The disclaimer probably becomes …

15a-6 Sharepoint Platform

Support for Rule 15a-6 and Chaperoned Research SEC Rule 15a-6 seeks to “to facilitate access to foreign markets by U.S. institutional investors through foreign broker-dealers and the research that they provide, consistent with maintaining the safeguards afforded by broker-dealer registration.”  The SEC DeskTop provides a very simple, integrated workflow platform based on Microsoft’s Sharepoint Online …

eDiscovery productions from collaborative platforms

Availability of the DataParser for Legal eDiscovery ‘fire drills’ Under the Federal Rules of Civil Procedure, Rule 26(a)(1)(A)(ii), corporations must disclose available electronically stored information that supports its claim or defense.  To prepare for litigation, legal teams now need to develop and document the necessary procedures to access such content and the associated costs. Millbrook, …