Your company is liable for all incoming, internal and outgoing email distributed via its email system.

Working as an integral part of the The Message Archiver, The Compliance Reviewer is a supervisory system, which enforces and monitors your policies and procedures regarding appropriate email & IM usage, corporate governance and privacy, by enabling the review of your company's email and messages.

How Monitoring Works

The Compliance Reviewer was specifically engineered to meet the stringent legal and regulatory compliance requirements of the United States Broker-Dealers and Investment Advisors, including such US regulations as NASD Rule 3010, SEC Rule 206(4)-7 and IDA Bylaw 29.7, regarding the supervision of email communications.

Email can be flagged for review by:

• Real time import scanning for keyword or phrase violations
• Structured query using various search criteria
• By random sampling rules (by User, User group, or company-wide).

Via an intuitive, colour-coded icon based user interface, a Reviewer (typically, the owner, manager or privacy or compliance officer) can review any flagged message and select the appropriate action icon to log its status. If applicable, a Reviewer may “Escalate ” any non-compliant message to a Super Reviewer for further evaluation.

Once a message has been:
Flagged for review

Reviewer may mark the message as:
No action taken
Compliant
Non-compliant
Non-compliant - Closed

If Escalated , the message is marked:
Flagged for review

Super Reviewer may mark the message as:
No action taken
Compliant
Non-compliant
Non-compliant - Closed

• Measurable improvements in employee productivity and decrease in personal email use due to monitoring.
• Real-time detection of inappropriate or misleading email, which may violate firm policies or regulation.
• Guards against disclosure of company trade secrets, confidential documents or intellectual property.
• Unifies and synchronizes your IT, employees and business processes.
• Seamlessly integrates with the Message Archiver.

Policy Enforcement Capabilities of the Compliance Reviewer:

• Rapid access to advanced monitoring and review functions via any secure web browser.
• Customised security rules govern multi-tier access rights and action privileges of authorised reviewers.
• Detailed logs with audit trail history of each executed review

Technical Features of the Compliance Reviewer:

• Automated flagging of email for review based on import scanning, structured query or random sampling .
• Review of entire email and attachments with virtually no latency .
• Keyword flagging rules may be applied to all or any combination of incoming, internal and outgoing email .
• Keyword search results are highlighted in different colours within the email for quick discovery.
• Keyword list for import scanning can be customised to exclude phrases (e.g. disclaimers) .
• Log email review history with action icons and predefined or issue specific comments .
• Reviewer-defined folders to categorise email for organisational or litigation purposes, with export to CD / DVD or other media.

What's Next?

• See The Compliance Reviewer in Action

More Information

• Request a 30 Day Trial
• Request a Quote