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. 

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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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