Charles Weeden

Charles Weeden is Managing Partner of 17a-4, llc, a compliance software and services company focusing on e-communications and archive technologies that meet the regulatory and e-discovery requirements of institutional clients subject to SEC, FINRA and CFTC rules (including SEC Rule 17a-4) reporting. The company consists of two divisions, DataParser software solutions products, and 17a-4, which offers compliance counseling, including designated third-party services as mandated for broker-dealers by the SEC. He can be reached at [email protected].

fire alarm with strobe light on white wall

Using Tech to Streamline Compliance Efforts Data collection and monitoring tools now make it easier to access information quickly, but only if your company has the right content management and e-communications system in place. Rather than leaving the decision as to what system would work best solely up to the IT department, compliance officers should have a say in the functionality of...

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