Email Archiving & Compliance Blog:

SEC

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March 16, 2011  5:26 PM

Email Archiving for Financial Regulatory Compliance?



Posted by: Naplesguy
Email Archiving and Compliance, finra, SEC

When looking at email archiving for financial regulatory compliance, you need to look a little deeper than just storage and retrieval. Here are some features to look for to make sure you are compliant with the latest laws and regulations: - You are probably aware of the storage requirements by...

June 14, 2010  12:37 PM

Compliance now means more than just email archiving for financial institutions



Posted by: Naplesguy
Email Archiving and Compliance, FINRA compliance, SEC

The landscape for SEC and FINRA compliance has changed. Financial firms have been under the scrutiny of FINRA and the SEC for quite some time. Email archiving was born from the necessity of compliance with laws like the Federal Rules of Civil Procedure, SEC’s


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