17a-4 is having their annual sale on e-Disclaimer...a hyperlinked email disclaimer service that is fully compliant with a broad range of regulatory requirements.
Millbrook, NY (PRWEB) October 14, 2015
17a-4 is having their annual sale on e-Disclaimer. e-Disclaimer is a hyperlinked email disclaimer service that is fully compliant with a broad range of regulatory requirements. 17a-4’s e-Disclaimer provides the legal protection required for corporate emails, removes the burden to archival storage and drastically reduces erroneously flagged content during e-discovery. From now until the end of the year all purchases of e-Disclaimer are half off. In addition, any purchase of the DataParser will also include e-Disclaimer. 17a-4’s DataParser is a lightweight, middleware product that has a modular design to collect many different types of data streams, messaging platforms and databases such as Bloomberg, Cisco Jabber, Microsoft Skype for Business, SharePoint and more.
Most institutions have some version of an email disclaimer to protect their rights and responsibilities. Unfortunately, these disclaimers can prove burdensome to Compliance and IT when time is of the essence in response to an SEC or FINRA regulatory request for an e-discovery production. The language of the disclaimers, words like confidential, privacy, guarantee etc., can result in unnecessary flagging by the necessary regulatory supervisory systems (FINRA Rule 3110 and IAA 203) increasing costs of legal reviews and e-discovery productions. All that flagged content is also being retained in an institutions archive at a considerable cost. Disclaimers can often account for up to 15% of archival space. A hyperlinked solution, like 17a-4’s, simply eliminates the flagging and retention of these items in the archive.
Another important element to 17a-4’s solution addresses legal and regulatory requirements for institutions implementing hyperlinked e-disclaimers, specifically the defensible authentication of the linked connection. Most hyperlinked disclaimers being used in corporate email cannot provide the required authentication and, as a result, are not legally enforceable. If an organization simply deploys a hyperlink to a webpage with a full disclaimer, they have failed to authenticate the connection and are not legally defended. There is no verifiable proof that, at the time of the email, the specific disclaimer was valid and linked. The legality of the disclaimer is negated unless each email can be proven to connect to a specific e-disclaimer, as it reads at the time of attachment. 17a-4’s solution proves the integrity of the hyperlink by managing a repository on behalf of clients. The repository contains all disclaimers used by an institution, including multi-lingual and conditional variations such as e-messaging and social networking disclaimers.
“Many institutions don’t realize that their disclaimers are not legally enforceable as there is no ‘chain of custody’ for the hyperlink. Too often, there is no a hash code verifying the disclaimer language at the time of the email and no third party that can testify as to the disclaimer, if necessary, in litigation. Unfortunately, a poorly managed disclaimer is worse than no disclaimer.” says Charles Weeden, Executive Director of Compliance Services at 17a-4 llc.
17a-4 also offers year round discounts on e-disclaimer when purchased as part of their 17a-4 Compliance Services Suite. The suite includes bundled offerings that address the needs of financial compliance officers including: Designated 3rd Party / Letter of Undertaking & Attestation, Foreign Corrupt Practices Act, Dodd-Frank Act / CFTC letter under 17 CFR 1.31 and the SEC Compliance DeskTop software that provides support for international research (SEC Rule 15a-6), institutional research (FINRA Rule 2210), customer complaints (FINRA Rule 4530) and outside business activities (FINRA Rule 3270).
For more information on e-Disclaimer please visit http://www.17a-4.com or call (212) 949-1724.
17a-4 is a compliance services and software company with a focus on e-messaging and software solutions to meet regulatory and e-Discovery needs of institutional clients. Clients that are required to adhere to SEC (Rule 17a-4), 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 also 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.
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