End-to-End Audit Support Services
You are required to review electronic advertising and client communications to ensure compliance with FINRA, SEC and SRO (self-regulatory organization) regulations, which includes emails and attachments. In addition, your compliance manual must clearly outline your policies and procedures for meeting this requirement.
In order to satisfy regulators’ expectations during an examination, it is critical to have a system in place and in line with the nature of your firm’s business and capabilities. Recently, the SEC and FINRA specifically stated they were interested in whether effective policies and procedures were in place for capturing, compiling and maintaining email and instant messages, since these methods are now so commonly used in client interactions.
We understand that when it comes to conducting an internal investigation or regulatory-driven audit, it’s not just about the technology.
- Quick-and-Easy Search and Retrieval: Quickly find relevant emails, IMs and attachments to fulfill audit requests
- Data Exports: Export search results and deliver via physical media for an audit request or legal follow up
- Auditor Logs: Leverage AdvisorMail’s search logs to capture the auditing activities of your reviewers, so administrators can ensure that they are conducting appropriate reviews and meeting compliance requirements
- Expert Help: Our compliance experts are ready to provide assistance via phone during your next audit.