Your Guide to Advanced Email Archiving and Compliance

About 107 trilllion emails fly around the Internet every day, and that number continues to climb. What’s an IT administrator to do with all that email? Ignoring it can lead to HR and legal problems, financial penalties, and damage to your company’s reputation. In addition to the operational consequences of data loss, there’s a growing list of rules and regulations requiring stringent compliance and archiving methods for electronic records. Federal and state courts increasingly are requiring companies to produce relevant electronic documents, including email with attachments, in legal cases.

Apptix’s Advanced Exchange Email Compliance & Archiving Services provide secure, off-site message archiving and long-term storage with online access. This solution is developed to assist you in meeting the regulatory compliance requirements mandated for electronic records. Our technology provides compliance with:

• SEC Rule 17a-4
• HIPAA
• FSA, Sarbanes Oxley Act
• NASD Rules 3010 & 3110
• NYSE Rules 342, 440 & 472
• RIA SEC Rules 204-2 & 206(4)-7
• IDA Bylaw 29.7
• Graham-Leach Bliley Act
• PIPA & PIPEDA
• Patriot Act
• Data Protection Act, Basel II, FERC
• FCC
• And plenty of others

How it Works:

A tamperproof copy of all electronic data is captured (1), replicated (2, 3, and 4), verified (5), and unified in the Message Archiver, the core of the Archiving and Compliance system. With personal message management tools, users can view, reply to, forward, and download all their current and archived messages, and even create new mail. You will never lose email again. A simple web-based search and retrieval tool provides rapid access by compliance officers and employees to all email records, even if the original has been deleted.

The Compliance Reviewer provides real-time monitoring and audit tools for regulatory compliance and eDiscovery. The Compliance Reviewer was specifically engineered to meet the stringent legal and regulatory requirements of Broker-Dealers and Investment Advisors regarding the supervision of email communications.

Via an intuitive, color-coded icon-based user interface, a Reviewer (typically a manager or privacy/compliance officer) can instantly retrieve and review any flagged message and then quickly select the appropriate action icon to log its status. If applicable, a first-level Reviewer may escalate any non-compliant message to a Super Reviewer for further evaluation.


Compliance & eDiscovery Features and Benefits:

• Meets compliance, audit, and litigation rules (FINRA, SEC, SOX, FRCP, IIROC (IDA), privacy)
• Tamper-proof WORM back-up with write-verification ensures message authenticity
• Messages are serialized and time and date stamped
• Unified online search, retrieval, monitoring
• Audit tools for policy enforcement
• Advanced dual encryption to ensure privacy, confidentiality, and non-disclosure
• Full audit trail reports on email history
• Legal case management & eDiscovery tools

Compliance should involve proactive decision-making on the part of IT administrators and senior management to choose a high quality solution that efficiently retains, protects, manages, and ensures record authenticity. It is also necessary to implement safeguards and internal supervisory controls against inadequate data management practices. Selecting a message archiving solution should be thought of as an investment in your firm’s future, both in terms of risk reduction and overall company reputation.

Get started today. Add archiving to your Exchange purchase before February 15th and receive a 3-month credit. That could save you over $200 (based on 5 users), and could save you millions in legal fees.

Email compliance is more than just preserving records to ensure your firm can survive regulatory, audit, and evidentiary scrutiny. Effective compliance does not have to be expensive and should run seamlessly in the background. With Apptix’s solutions you can save your company from the time, expense, and cost of litigation and other issues down the road.