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Email Compliance

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Compliance Workflows

Message preservation, retrieval and surveillance solutions need to be in place in order for member firms to be compliant with a number of regulations governing financial services organizations. To confidently meet these requirements, we help you customize AdvisorMail to fit your company’s procedures and compliance workflows by assisting you with:

  • Initial Setup: Configuring your users, permissions, lexicon rules and offices
  • Customized List of Keywords & Phrases: Creating your corporate lexicon – a list of potentially dangerous keywords that should be flagged for review when included in an email or attachment
  • Disclaimers: Whitelisting your company’s electronic disclaimer (usually included beneath your email’s auto signature) to avoid unnecessary review cycles
  • Random Sampling: Managing email volumes by establishing a random sample based on a specified percentage of total emails received daily
 

LiveOffice AdvisorMail specializes in email compliance services, including email archiving, email search and email retrieval with fully indexed email storage. AdvisorMail provides both email and instant message monitoring and archiving for regulatory requirements and e-discovery. AdvisorMail satisfies all SEC and FINRA (NASD and NYSE) regulations, while also meeting SOX, GLBA, HIPAA and FRCP compliance requirements. In addition, AdvisorMail uses enterprise-level technology and multilayer protection to evaluate, detect and block spam emails and computer viruses before they ever get to your inbox. Call us today to learn more: 800.374.2032. ©2010 LiveOffice LLC. All Rights Reserved.