17a-4 LLC

17a-4 llc was established to address the expanding regulatory requirements imposed on financial institutions. 17a-4s 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 industrys 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-4s 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 ...