Compliance - Random Reviews

The Financial Industry Regulatory Authority (FINRA), is the largest non-governmental regulator for all securities firms doing business with the United States public. All told, FINRA oversees nearly 5,100 brokerage firms, about 173,000 branch offices and more than 669,000 registered securities representatives.

These areas that are important for financial services organizations:

• Collect and archive all messages sent and received by licensed traders
• Randomly review a percentage of emails and track the compliance reviewer information
• Review messages with keywords such as guarantee, deal, free, etc.
• Maintain messages in a tamper proof location
• Produce messages upon demand by an auditor or investigator

The MailMeter Solution:
MailMeter captures all messages into a single archive that is easily searchable and can ensure that records are deleted after their retention period expires.

MailMeter Benefits

• Full compliance with all regulations
• Dramatically reduce costs of legal investigations
• Reduce organization and executive exposure
• Improve employee education about risky behavior
• Increase integrity of information since transactions cannot be deleted from the archive