Electronically saved information (ESI) guidelines are not only difficult to understand but the amount of electronic email documents being produced by organizations is staggering. Since the SEC17a4 regulations regarding archiving all electronic data, email and correspondence for e-Discovery, the securities broker-dealers financial industry faces enormous compliance issues. Locating emails that are saved by hundreds of employees and stored in various departments uses the company’s valuable resources and time. Due to the Financial Institution Regulatory Authority (FINRA) and SEC 17a-4 (email compliance) by the Securities and Exchange Commissioner, broker-dealers are archiving electronically stored emails to comply with SEC guidelines, implementing third party D3P archiving solutions for instant and secure access to records. Read more >> orcaarchiver/guidelines-for-finra-sec-17a-4-email-compliance/
Posted on: Tue, 20 May 2014 15:43:32 +0000
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