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Charles Weeden
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17a-4 Support for Archiving on SharePoint Online

Best Practice | Infrastructure/architecture 17a-4 Support for Archiving on SharePoint Online

17a-4, llc

17a-4 Support for Archiving on SharePoint Online

Many institutions retain compliance records on SharePoint Online (M365). However, these often need to be brought into an email archive… Continue Reading

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17a-4, LLC shares DataParser’s Strategic Direction and Open Architecture

Best Practice | Infrastructure/architecture 17a-4, LLC shares DataParser’s Strategic Direction and Open Architecture

17a-4, llc

17a-4, LLC shares DataParser’s Strategic Direction and Open Architecture

As many middleware companies are being bought by archive companies, our clients and partners have asked for clarification as to… Continue Reading

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Webex Teams DataParser Support

Best Practice | Infrastructure/architecture Webex Teams DataParser Support

17a-4, llc

Webex Teams DataParser Support

Continuing to build interfaces which our clients need for regulatory supervision and retention, we have developed the interface for Cisco’s… Continue Reading

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Support for Rule 15a-6 and Chaperoned Research

Brochure / Fact Sheet | Behavior detection & predictive analytics Support for Rule 15a-6 and Chaperoned Research

17a-4, llc

Support for Rule 15a-6 and Chaperoned Research

The SEC DeskTop provides a fully-integrated workflow for international Rule 15a-6 / Chaperoned research compliance. International financial institutions may email… Continue Reading

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DataParser roadmap adds Cisco WebEx Teams, OneDrive and SharePoint Online

Brochure / Fact Sheet | Behavior detection & predictive analytics DataParser roadmap adds Cisco WebEx Teams, OneDrive and SharePoint Online

17a-4, llc

DataParser roadmap adds Cisco WebEx Teams, OneDrive and SharePoint Online

The DataParser is a leading middle-ware program to capture many types of content and format for archival or eDiscovery retention. Continue Reading

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Rule 17a-4 Compliance for Algorithmic Trading and Robo Advising Software

Best Practice | Consultants Rule 17a-4 Compliance for Algorithmic Trading and Robo Advising Software

17a-4, llc

Rule 17a-4 Compliance for Algorithmic Trading and Robo Advising Software

We are seeing an increased regulatory focus on the preservation of trading and robo advising algorithms. For instance, if a… Continue Reading

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How Compliance Technology is leading e-Discovery

White Paper | Consultants How Compliance Technology is leading e-Discovery

17a-4, llc

How Compliance Technology is leading e-Discovery

Article in WestLaw describes how the tools that compliance uses to comply with supervisory regulations such as FINRA 3110 complement… Continue Reading

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Leveraging Microsoft's Azure Analytics for FINRA 3110 Supervision

Brochure / Fact Sheet | Infrastructure/architecture Leveraging Microsoft's Azure Analytics for FINRA 3110 Supervision

17a-4, llc

Leveraging Microsoft's Azure Analytics for FINRA 3110 Supervision

17a-4’s DataParser integrates with Microsoft’s Text Analytics API to provide advanced natural language processing over raw text and includes three… Continue Reading

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eDisclaimer Management

Brochure / Fact Sheet | Consultants eDisclaimer Management

17a-4, llc

eDisclaimer Management

Disclaimers have become problematic for most financial institutions. They contain many of the words and phrases which are flagged by… Continue Reading

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DataParser for Office 365 Compliance Policy Management

Brochure / Fact Sheet | Consultants DataParser for Office 365 Compliance Policy Management

17a-4, llc

DataParser for Office 365 Compliance Policy Management

Leveraging the DataParser software which already captures Teams, Skype and other Office 365 content, 17a-4 has developed a Microsoft Compliance… Continue Reading

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17a-4's Compliance Lexicons

Brochure / Fact Sheet | Consultants 17a-4's Compliance Lexicons

17a-4, llc

17a-4's Compliance Lexicons

Many financial institutions have a requirement to monitor messaging activities and flag messages that might indicate a violation of business… Continue Reading

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DataParser for Azure Blob Storage

Brochure / Fact Sheet | Infrastructure/architecture DataParser for Azure Blob Storage

17a-4, llc

DataParser for Azure Blob Storage

Many clients find that Azure Blob is a very cost-effective platform for storing electronic records in compliance with SEC Rule… Continue Reading

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Introduction to the DataParser

Brochure / Fact Sheet | Infrastructure/architecture Introduction to the DataParser

17a-4, llc

Introduction to the DataParser

The DataParser is used by over 500 institutions to capture 3rd party content and format for many archival platforms including… Continue Reading

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