Investment Advisors, Hedge Funds and Broker-Dealers face stringent requirements to comply with SEC Rule 17a-4 (Electronic Records and Record-Keeping) and NASD Rule 3010 (Supervision of Communications). In a nutshell, these rules require at a minimum the following guidelines be met.
- Retention of email and IM communications for a minimum of three years
- Communications must be easily accessible
- Electronic records must be secure
- Communications must be indexed, and stored on non-erasable, non-rewriteable media
The NASD rules also require supervision of all employee communications with customers.
The ComplianceMAX system provides a comprehensive Email Archiving and Monitoring service designed to address your regulatory requirements. This system will monitor your email traffic, capture all emails and store them in a secure facility. The supervisor review features key word/key phrase scanning to automatically identify potential regulatory "red flags."
Installing and configuring your email compliance solution is a breeze. Our technology integrates with most email servers and internet service providers and our technical consultants will work directly with your firm to ensure that you're up and running with minimal interruption to your business.
A Complete Solution
For those firms that don't have an email service, National Regulatory Services has the solution. If you're like many small firms, you don't want to host and manage technology. National Regulatory Services can setup and host your mail domain and provide your firm with a fully outsource email service which includes a calendar and task manager. This solution is provided through a web-based interface and is available anywhere there is a browser and internet connection.
|| No Hardware—No Hassles
As a fully-hosted outsourced solution, there is no hardware to manage and install and you can have absolute confidence that your retention requirements are being met. We've taken every measure to ensure that your email is securely protected by utilizing high-quality hardware networking and software applications. The service is hosted and operated in a world-class, hardened data center.
Custom Monitoring Rules
Text & HTML Disclaimers
Compliance Officer Review & Reporting Tools
Server-Level Spam Filtering
Daily Offsite/Tape Backup
Redundant (RAID) Storage
Secure Dedicated Servers
Backup/Failover Power Supply
Remote Server Access
Windows 2000 Advanced Server
Access via Web, Outlook & more
Calendar, Contacts, Tasks
Daily Offsite/Tape Backup
User & Account Management