AIT WORM & SAIT WORM Magnetic Tape Products: Sec Rule 17a-4(f) Compliance Assessment
White Papers The focus of the independent evaluation conducted by Cohasset Associates in this White Paper is on how the AIT WORM and SAIT WORM magnetic tape products developed by Sony Electronics satisfy the applicable conditions of Rule 17a-4(f).
[September 27, 2005, 0:00]
Meeting SEC 17a-4 Regulations Using WORM Tape And XenData Archive Series Software
White Papers Rule 17a-4 applies to many types of records including financial accounting documents, all communications received and all communications sent. A key aspect of Rule 17a-4 is that the digital storage media or system must preserve the records...
[September 27, 2005, 0:00]
An Evaluation Of The Sun Microsystems, Inc. StorEdge Compliance Archiving System
White Papers It is Kahn Consulting, Inc.s opinion that Sun StorEdge Compliance Archiving System complies with both the letter and the spirit of the relevant requirements of SEC Rule 17a-4. Kahn Consulting, Inc.was retained to evaluate Sun Microsystems' StorEdge...
[February 23, 2005, 23:00]
SEC 17 A-4(f) Compliance Assessment: Quantum Corporation DLTIce Worm Tape
White Papers This paper presents an independent assessment by Cohasset Associates regarding the ability of Quantum's DLTIce magnetic tape storage solution to meet the requirements set forth in SEC Rule 17a-4(f). It is clearly stated in the Securities and...
[September 27, 2005, 0:00]
An Evaluation Of IXOS ECONserver Compliance With SEC Rule 17 CFR § 240.17A-4
White Papers The paper explains with the help of the opinion of Kahn Consulting and Cohasset Associates that IXOS eCONserver and eCONtext comply with both the letter and spirit of relevant requirements in SEC Rule 17a-4.1 These IXOS technologies allow...
[September 27, 2005, 0:00]
Global Financial Giant Uses MMP To Meet Federal Compliance Requirements
White Papers Federal SEC Rule 17a-3 and 17a-4 applies to all financial services companies, dictating to brokers, banks, and other financial institutions what data must be retained, on what media, and for what period of time.
[September 15, 2005, 0:00]
ViewWise Financial Services
White Papers Furthermore, large fines have been imposed for not following regulations such as SEC rule 17a-4, which applies to email management within broker-dealer organizations. At your average financial office, clients have their own physical file with...
[September 15, 2005, 0:00]
Financial Firms Using Communicator Inc's Hub Connex Group Chat To Share Market Information
White Papers Hub Connex' Forums support demanding message archiving and auditing requirements, including SEC rule 17a-4, NASD rule 3010 and the Investment Advisor Act. Hub Connex launched its enterprise group discussion Forums in 2001 and now hosts over 5,000...
[September 15, 2005, 0:00]
Case Study: Brokerage Group Migrates 60% Of Primary Data To On-Line Archive - Saves $1.7 Million
White Papers Additionally, due to government regulations such as SEC Rule 17a-4 and the Sarbanes-Oxley act, JKL Brokerage Group is required to retain much of their data for up to seven years. JKL Brokerage Group realizes that end user demand, internet based...
[September 15, 2005, 0:00]
LANsultants Archive One Compliance
White Papers SEC Rule 17a-4 requires that all financial institutions retain electronic documents - including e-mail and instant messaging - for at least six years. Ronald Szpindor, a consultant with the leading computer service provider to medium-sized firms in...
[September 15, 2005, 0:00]
Is AOL Losing Its Messaging Voice?
News In the world of finance, that market owes its vitality in large part to SEC regulations, Rule 17a-4 in particular mandating the archiving of trading communications. Even at AOL Time Warner, AOL-designed email proved so unwieldy in a corporate...
[June 5, 2002, 9:14]
