Litigation Support Tip of the Night

May 11, 2019

Just a quick tip tonight because Litigation Support Tip of the Night is getting hammered at work and is exhausted.  If someone sends you a link on the Globalscape MFT file transfer service, use Internet Explorer.  Recently I have received Globalscaoe Web Transfer Client links from two different parties.  

When I logged in my folder appeared to be empty after the transferred files flashed on the screen briefly.   When I switched to IE the files displayed normally, and I was able to download them. 

July 26, 2018

With version 16.5 and later of WinZip, you have the option to unzip multiple files automatically.   The process is very simple. 

Select the zip files you want to extract.

Right click in the highlighted area and then select WinZip . . . Unzip to . . . 

 Select a folder and the contents of each zip file will be extracted automatically.

January 28, 2018

The Tip of the Night for November 28, 2016 explained how to get a list of the files in zip file using 7-zip and a batch file, and the Tip of the Night for March 18, 2016 discussed the use of an Add-in for WinZip to get a list of the files in that compression format. 

Don't miss out on the fact that the latest version of WinZip (version 22) contains an easy way to generate a list of all of the files present.  Go to Tools . . . Diagnostics . . . Diagnostics

. . . a new window will appear from which you can easily copy and parse out all of the files names!

March 2, 2016

SEC Rule 17a-4 requires certain business documents to be retained for period of 3 to 6 years, and in the first two years in an easily accessible place.  These include communications by broker and dealers, checks, bank statements, net capital and debt calculations, and many records made pursuant to SEC regulations.  

 

SEC Rule 17a-4(f)(2)(ii) states that:

 

(A) Preserve the records exclusively in a non-rewriteable, non-erasable format;

(B) Verify automatically the quality and accuracy of the storage media recording process;

(C) Serialize the original and, if applicable, duplicate units of storage media, and time-date for the required period of retention the information placed on such electronic storage media; and

(D) Have the capacity to readily download indexes and records preserved on the electronic storage media to any medium acceptable under this paragraph (f) as required by the Commission or the self-regulatory organizations of which the member, broker, or dealer is a member.

 

So reading this  you would apparently need to burn your financial records to a disc,  use a checksum command to confirm the data copied correctly, put a data on the disc labeled with a date indicating when it must be retained until and be capable of sending the records to the SEC if they request it. 

 

SEC has provided an interpretation of this specific provision that explains how the ESI should be stored.   It states that, "the rule, by its terms, does not limit broker-dealers to using a particular type of technology such as optical disk."     The SEC approves the use of other electronic storage devices that prevent the overwriting, deletion or alteration for a specified period "through the use of integrated hardware and software control codes."  The SEC states that software that protects data with authentication policies or password protection does not qualify.      

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Sean O'Shea has more than 15 years of experience in the litigation support field with major law firms in New York and San Francisco.   He is an ACEDS Certified eDiscovery Specialist and a Relativity Certified Administrator.

The views expressed in this blog are those of the owner and do not reflect the views or opinions of the owner’s employer.

 

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This policy is subject to change at any time.

 

Contact Me With Your Litigation Support Questions:

seankevinoshea@hotmail.com

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