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17a-4 LLC logo — Compliance Services & Software

17a-4 LLC

Compliance Services & Software

Founded 2001 United States New York, United States 18 employees Seed Data Analytics, Information Technology +1

General Information

Company Name 17a-4 LLC
Founded Year 2001
Location United States New York, United States
Employees 18
Industries Data Analytics, Information Technology, Legal Tech
Funding Stage Seed
Social

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About 17a-4 LLC

17a-4 llc was established to address the expanding regulatory requirements imposed on financial institutions. 17a-4's approach bridges Compliance, Legal and Information Technology management to offer comprehensive compliance solutions for regulated content including email, instant messaging, data streams, trading platforms, websites, social media and databases. Financial institutions have a complex web of regulations and technologies to manage in order to stay in compliance. 17a-4 works with over 500 financial institutions and participates in many regulatory discussions and compliance examinations; as such, have a deep understanding as to the financial industry’s best practices. 17a-4 works with Compliance and IT teams to advise how best to archive content and exactly content needs to be retained. 17a-4's Designated Third Party Service provides Letters of Notification (SEC Rule 17a-4(f)(2)(ii)), Letters of Undertaking (SEC Rule 17a-4(f)(3)(vii)) and CFTC Letters under 17 CFR 1.31. 17a-4's software products are used extensively by institutions that have regulatory or internal policies requiring e-messaging retention. The DataParser is the leading on premise middleware solution for messaging compliance. It’s lightweight with a modular design to collect many forms of regulated content for compliance with SEC and FINRA rules. Bloomberg, Cisco Jabber, Reuters Eikon Messenger, SharePoint, Skype, Skype Online, FactSet, InvestEdge and more can all be collected with one easy solution. Designed to integrate easily into any existing infrastructure, the DataParser can run multiple configurations for more complex environments. Collected data is formatted and delivered to Office 365, Exchange or an email archive to create a single point of compliance management, discovery and supervisory procedures. 17a-4 is based in New York City but operates remote offices nationwide.

No funding data available for 17a-4 LLC yet.

FAQ About 17a-4 LLC

Compliance Services & Software
17a-4 LLC was founded in 2001.
17a-4 LLC is headquartered in New York, United States.
17a-4 LLC operates in Data Analytics, Information Technology and Legal Tech.
17a-4 LLC has approximately 18 employees.

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Source: BounceWatch company record for 17a-4 LLC, https://bouncewatch.com/company/17a-4-llc, updated 3 December 2024. When citing, please name BounceWatch and link this page.

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