What is Compliance Archiving?
Corporate regulators have introduced stringent compliance archiving requirements regarding electronic communications in response to the explosive growth of email & instant messaging (IM) as principle business communication tools.
Global Relay's Compliance Reviewer works with the Message Archiver to help reduce your company's liability against email distributed via your email system. As part of a comprehensive Compliance Archiving service, the Compliance Reviewer monitors your company's policies and procedures, enforces them, and supports compliance with regulatory and corporate mandates.
Simple web-based search and retrieval tools provide rapid access by compliance officers and employees to current and historical email records, even if the original has been deleted. The Compliance Reviewer provides real-time monitoring and audit tools for regulatory compliance and eDiscovery.
Compliance rules include: Broker-Dealer SEC Rule 17a-4 and FINRA (NASD) Rules 3010 & 3110; Investment Advisor Rules 204-2 & 206(4)-7 and Hedge Fund Rule 203(b)(3)-2; Sarbanes-Oxley Act; Federal Rules of Civil Procedure (FRCP), Sunshine Law, California SB1386; HIPAA; GLB Act; privacy legislation; and Business Continuity Plans such as under FINRA (NASD) Rule 3510.
