17a-4’s D3P Service for Office 365 Now Includes Retention Policy and Preservation Lock Audits Using DataParser

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17a-4 developed a module of the DataParser to audit and lock Office 365 retention policies. The DataParser for Office 365 policies is now included in 17a-4’s D3P service to help clients maintain compliant environments.

This new process for D3P clients provides confirmation that Office 365 Security & Compliance retention policies are in place and fully compliant.

17a-4, LLC has improved Designated Third Party services for Office 365 clients using DataParser’s new module to audit and lock retention policies. DataParser runs against the clients Office 365 tenant to provide a list of active retention policies in the Security & Compliance Center and allows for the polices to be locked using DataParser’s interface. This new process for D3P clients provides confirmation that Office 365 Security & Compliance retention policies are in place and fully compliant.

Securities and Exchange Commission (SEC) Rule 17a-4 includes a WORM storage requirement for the archive. For Office 365 users, the Preservation Lock feature is used to satisfy this requirement. After a retention policy's been locked, no one can turn it off or remove locations from the policy. And it's not possible to modify or delete content that's subject to the policy during the retention period. A locked retention policy can be increased or extended, but it can't be reduced or turned off. The Preservation Lock feature ensures the immutable copies of users’ data are being archived in Office 365.

“Our D3P service requires confirmation that the records being held in Office 365 are under Preservation Lock as part of our review,” offers Douglas Weeden, Director of Compliance and eDiscovery. “Using our new DataParser for Office 365 helps us better manage this process for our clients.”

17a-4 assists broker dealers that are transitioning to Microsoft’s Office 365 archive with meeting the regulatory requirements and maintaining a compliant environment. As the D3P provider, 17a-4 will use the DataParser to review the policies in Office 365 and ensure Preservation Lock has been applied to the records.    

For more information or a free trial of DataParser for Office 365 polices visit 17a-4.com.

About 17a-4 LLC:
17a-4 is a compliance services and software company with a focus on solutions to meet regulatory and e-discovery needs of institutional clients. Clients leverage 17a-4’s expertise to ensure information infrastructures comply with SEC (Rule 17a-4), FINRA and CFTC (Rule 1.31) regulations. 17a-4 services include Designated Third Party and books and records reviews.

17a-4 products include DataParser for messaging compliance and the SEC-FINRA DeskTop a hosted platform for SEC and FINRA documents and regulatory workflows. 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 is based in New York.

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

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