Email Compliance Checklist

It is critical for financial services professionals to build and maintain an electronic communications review process that is not only reliable and efficient, but also complies with SEC and FINRA rules and regulations. To satisfy regulators’ expectations during an examination, a system must be in place and in line with the nature of the firm’s business and capabilities.

The Email Compliance Checklist from Core Compliance and Legal Services, Inc. is an invaluable guide to help you when implementing or revising your firm’s electronic communications review process. Complete the form on the right to get your free copy now.

Get the Email Compliance Checklist

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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.