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| Abiding by SEC, NASD, and NYSE regulated
policies, broker-dealers must systematically maintain, review,
and modify supervisory procedures designed for regulatory
compliance. Email archiving and document retention allow
broker-dealers to preserve uniform records of all electronic
correspondences had by registered representatives with
customers. |
| Broker-dealers are advised by the SEC to use
any form of electronic storage media which will exclusively
preserve the firms electronic documents in “non-rewriteable”
and “non-erasable format.” Our turn-key solution has continued
to demonstrate resiliency to unauthorized administrator access
and electronic tampering methods. With no reported incidents
of data loss or security breaches, you can feel confident in
providing your firm with front line email storage
guardianship. |
| 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. You
can't find reliability in your email, or can you? Our
technology is your technology. |
| Is the phrase “NASD approval” music to your
ears? Does it make you breathe a deep sigh of relief? Our
email archiving and compliance application has the iron-willed
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. Looking for NASD smiles? So are we. Email
compliance has a name, its called Self-Service.
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Email Archiving &
Compliance 
