Email Archiving Benefits

In recent years, archiving messages has become a business requirement driven by numerous federal and state regulations, including those set forth by the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). In order to comply, financial services firms like yours must retain emails, attachments and instant messages (IMs) in their native formats on tamper-proof storage that is readily accessible. Failing to do so can lead to penalties that include significant fines or even criminal charges and imprisonment.

Plain and simple, AdvisorMail drastically reduces the time it takes to review emails for compliance violations. We’ve taken the common day-to-day review tasks financial services firms face and turned them into easy, highly automated functions you can perform with just a few clicks of your mouse. Our solution lets you speed through your daily batch of messages, while also reducing false-positives and removing them before you ever see them.

While not all financial services firms require it, organizations that need to conduct tiered supervision at the corporate and branch levels will greatly benefit from AdvisorMail’s compliance workflow process. Our unique approach enables you to customize review criteria (keywords, phrases) as appropriate or required for each office, regardless of the criteria prescribed for offices or levels within your compliance organization.

You are required to capture all electronic communications sent and received by your employees relating to your business, regardless of the quantity. AdvisorMail ensures that you can easily and cost effectively implement a proven email compliance system that meets all regulatory and corporate requirements by securely capturing and indexing all of your messages, including all inbound, outbound, interoffice, IM, Bloomberg and Reuters communications.

With the volume of emails, attachments and IMs sent in this day and age, taking a proactive approach to meeting message retention and compliance requirements is critical. AdvisorMail ensures that your messages are well organized and easily searchable. The last thing you want to do when the regulator knocks on your door is take a reactive approach. Instead, AdvisorMail puts you in “regulator-ready” mode at any given time with our advanced monitoring and proactive email alert system.

You meant to put your email archiving and compliance system in place last quarter, and now you are scrambling. While other vendors may tell you that it takes weeks or even months to get up and running on their systems, AdvisorMail is a fully hosted service that can be deployed across your organization in a matter of days, and in some cases, just hours.

We understand that when it comes to conducting an internal investigation or regulatory-driven audit, it’s not just about the technology. Our audit experts are available to help you every step of the way, from providing Letters of Attestation and other relevant certifications to picking up the phone and walking you or your auditor through the search-and-retrieval process when needed (at no additional cost).

When you select AdvisorMail, you avoid the high hardware and software licensing costs associated with alternative solutions. Plus, you don’t have to pay additional fees for implementation, resulting in up to 50-percent savings.1 And since you have no hardware or software to maintain, your total cost of ownership is five to 10 times less than what you would pay for an on-premise solution.

Today, email is a critical business communication tool and important corporate record. No one understands this better than our 24–7–365 network operations team. We have invested tens of millions of dollars in our data centers and technical infrastructure to ensure that your messages are always available, and your data is protected from loss or theft at all times.

We believe that our software is only as good as the client service we provide with it. While our technology is intuitive and user friendly by design, there are times when you would still like to speak to a real human being. All of our clients have full access to our dedicated client services team at no additional cost.

We understand that nothing ever stays the same for long in the financial services industry. The same philosophy rings true in the world of technology. If you opt to run your email archiving and compliance solution on-premise, you can expect to find your technology team constantly conducting system updates and upgrades. With AdvisorMail, you get to leave all that work to us, so you can focus on serving your clients instead of technology management.