Email, Instant Messaging (IM) and Social Networking Archiving for Broker-Dealers
Broker-dealers must systematically maintain, review, and modify supervisory procedures designed for regulatory compliance as set by the SEC, NASD, and NYSE policies. Email archiving and document retention allows broker-dealers to preserve uniform records of all electronic correspondences between registered representatives and customers.
The iMessageArchiver: Email Storage Guardianship
The SEC advises broker-dealers SEC to use any form of electronic storage media, which will exclusively preserve the firm’s electronicdocuments in “non-rewriteable” and “non-erasable format.” Our turnkey solution has continued to demonstrate resiliency to unauthorized administrator access and electronic tampering methods. Without fear of data loss or security breaches, you can feel confident in providing your firm with front line email storage guardianship.
Take advantage of our technology to achieve your goals
Designating a chief compliance officer to engineer a well-managed compliance procedure is required for broker-dealers under current NASD regulations. We provide CCO's with a customizable and flexible solution to exercise dynamic search and retrieval of digital evidence, guarantee message authenticity with unique electronic signatures, and ensure email security with world-class virus protection.
Email Audits: Looking for NASD Approval?
If you are looking for “NASD approval”, our email archiving and compliance application has the capabilities and results that broker-dealers need to outline audit trails and supervisory reviews. Leave the preparation and handling of your business related emails to us while you focus on strengthening company objectives and internal operations.
