17a-4 Expands Designated 3rd Party Electronic Records Review

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17a-4 llc provides Designated 3rd Party services for hundreds of broker dealer clients. In an effort to continually enhance the Designated 3rd Party annual review, the process now includes many different types of repositories that may fall under the purview of SEC Rule 17a-4.

Significantly expanding the scope of the annual Designated 3rd Party reviews....

17a-4’s Designated 3rd Party now includes over 15 different back-office, general ledger, accounting, AML and other compliance repositories. Significantly expanding the scope of the annual Designated 3rd Party reviews, 17a-4 will include such systems as:

  • OpenText and its IXOS and AXS-One email archives
  • EMC’s Documentum
  • ZL Technologies’ Unified Archive
  • Oracle Mantas
  • Sungard – Protegent
  • Schwab Compliance
  • SAP
  • Delta Data Software’s FUNDLinx
  • Hyland Software’s OnBase
  • Docupace Technologies’ ePACS
  • Thomson Reuters’ BETA Brokerage

SEC’s Rule 17a-4 requires financial institutions regulated by the Securities and Exchange Act of 1934 to retain a Designated 3rd Party to review and assist in the production of electronic records if called upon by the SEC, FINRA or other regulatory organization. Records are maintained on many different systems including back-office processing, order management, general ledger, accounting, customer complaints, employee trading, etc.

17a-4 continues to build upon its industry leading knowledge of brokerage operations and systems to fulfill Designated 3rd Party responsibilities. With a strong knowledge of technology, 17a-4 has a unique understanding of the varied platforms used by regulated financial institutions.

For more information on 17a-4’s D3P service, please contact sales(at)17a-4(dot)com or visit http://www.17a-4.com .

About 17a-4 llc:

17a-4 is a compliance services and software company with a focus on e-messaging and software solutions to meet the regulatory and e-discovery needs of institutional clients. Clients that are required to adhere to SEC, FINRA and CFTC regulations leverage 17a-4’s expertise to ensure their information infrastructure is in compliance. 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 has developed the SEC-FINRA DeskTop which is a hosted, SEC-compliant SharePoint platform for many types of SEC and FINRA documents and regulatory workflows. 17a-4 is based in New York City but operates remote offices nationwide.

All product and company names herein may be trademarks of their registered owners.

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