17a-4 offers a new suite of services for Designated 3rd Party clients
Summary
Millbrook, NY – 17a-4, LLC is combining a set of services and software into a suite for smaller financial institutions to easily and cost-effectively address their compliance requirements. Combining and discounting these services and software greatly simplifies how broker/dealers and other financial institutions may address their significant compliance concerns. This software provides clients an extremely easy and cost-effective tool for managing the archiving of records in Microsoft’s cloud. 17a-4 provides expert witness testimony at no charge for verification that a specific disclaimer was part of an email record. “By conjoining these offerings into a single, simple suite,” offers Douglas Weeden, Director of Compliance Services, “compliance teams can quickly have the tools they need to comply with SEC and FINRA regulations for managing and retaining compliance records.”