Email Compliance Services

When it comes to conducting an internal investigation or regulatory audit, we know it’s not just about the technology. Our compliance 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).

Our 10-plus years experience in providing email archiving and compliance services to financial services companies of all sizes has allowed us to assist our clients with completing more than 20,000 successful audits. Our AdvisorMail solution equips you with a proven email compliance system that meets a variety of regulatory requirements, including FINRA, SEC, Sarbanes-Oxley Act, Gramm-Leach-Bliley Act, and the FRCP amendments. Our complete suite of compliance services includes:

• Compliance Workflows: Defining compliance workflows by properly configuring AdvisorMail to meet regulatory requirements.
• Letters of Attestation & Undertaking: Ensuring you have Letters of Attestation, Letters of Undertaking and other relevant certifications to prove that you have the proper procedures in place to fulfill electronic communications regulations.
• End-to-End Audit Support Services: Meeting the stringent demands of regulatory audits as well as addressing operational, legal discovery and HR considerations with data requests.
• Designated Third-Party (D3P) Services: Achieving compliance with Title 17a-4 and other rules for preservation of electronic records through our D3P services.
• On-Demand Search and Retrieval: Running searches and downloading results on-demand for any variety of search criteria and filters.
• Data Requests: Responding to audit requests with confidence, since you can search across users, offices and large volumes of emails to provide regulators with emails that meet their specific requests.
• Advanced Reporting: Verifying that your reviewers are performing their assigned tasks and functions with auditor-, office- and user-level reporting.

Our in-depth experience working with firms just like yours means that we are experts when it comes to meeting your compliance and audit support needs. When you select AdvisorMail, you are also signing up to be taken care of by the best client services team in the industry. All of our support representatives are experts in messaging and compliance, and they are ready to help when you need it – at no additional cost.

Your Compliance Partners

Today’s ever-changing regulatory environment demands that you have a clear, concise compliance program in place—whether your registered firm is a long-established business or brand new to regulatory requirements.

Our comprehensive suite of compliance services gives you the peace of mind you need by ensuring that you can respond to and stay ahead of the shifting compliance landscape. We offer valuable expertise on financial services compliance requirements, which enables us to deliver the support you need, when you need it. Our goal is to help protect your firm’s reputation and long-term viability.