Case Study: Crews & Associates achieves FINRA and SEC 17a-4 compliance with ZL Technologies

How This Investment Banking Firm Has Been Using Zl Ua to Meet Finra and Sec 17a-4 Regulations Since 2004

Crews & Associates, a Little Rock-based investment banking firm, needed a way to meet FINRA and SEC 17a-4 compliance requirements while managing the rapid growth of employee email and other electronic communications. Working with ZL Technologies, the firm sought an archiving and compliance platform that could store messages in original form, keep them tamperproof, and make them searchable for supervision and audits.

ZL Technologies implemented ZL UA, including ZL Compliance Manager and ZL Discovery Manager, to automate email archiving, keyword-based supervision, and eDiscovery across the enterprise. The solution enabled Crews & Associates to respond to regulatory and legal requests in seconds or hours instead of days, complete 438 keyword searches in a recent case, and improve compliance oversight while reducing manual effort and risk.

Crews & Associates

Carter Malone

Vice President of Compliance