Email Archive SEC/FINRA Compliance Users: Compliance Efficiency
Driven by the needs for email archiving compliance with increasingly stringent federal laws and industry compliance regulations, the need to invest strategically in email archiving storage technology is becoming more compelling and urgent every day. Within financial services, keeping up with new SEC/FINRA compliance requirements, multiple sets of new rules imposed under the Dodd-Frank Wall Street Reform Act, and international developments such as the EU Data Privacy Directive has become a full time proposition. Achieving SEC/FINRA email archiving compliance with inflexible legacy solutions has become an increasingly difficult task.
Email Archive for SEC/FINRA Compliance Users Key Capabilities:
- Supervision Email Archive for SEC/FINRA Compliance: Proofpoint Enterprise Archive makes it easy to meet even the most stringent regulatory compliance demands by archiving email according to SEC-compliant policies. Robust supervision review features allow organizations to automate review processes, thus enabling greater productivity of compliance staff and improving effectiveness in identifying and routing potential SEC compliance policy violations that require further review or escalation. Self-service search and near real-time email retrieval – uniquely backed by a performance guarantee – significantly improves the efficiency of the compliance audit process.
- SEC-Compliant Storage Infrastructure: Proofpoint Enterprise Archive provides a secure, tamper-proof email archiving storage infrastructure comprised of geographically distributed data centers, ensuring SEC compliance and that the information is available in the event of service disruption to either location. Proofpoint also provides redundant data storage in geographically distributed datacenters that meets all conditions set forth in SEC Rule 17a-4.
- Simplify Compliance with Evolving Regulatory Requirements: Proofpoint Enterprise Archive provides flexibility to help your compliance team create, maintain, and enforce compliance policies, directly from a browser-based interface. Proofpoint Enterprise Archive provides the ability to define granular retention policies based upon classes of users, records management-defined categories of content or specific geographic market requirements. Proofpoint's policy engine provides the flexibility to easily modify email archiving compliance policies as compliance requirements change, and as internal retention strategies evolve over time.
- Single, Unified Repository for Search, Review, and Discovery: Unlike other supervisory email archiving compliance tools that require separate interfaces or data repositories, Proofpoint Enterprise Archive provides a single, unified archive that allows compliance teams to identify and review items that may exist beyond their existing review processes. Providing seamless access to the entire contents of the email storage archive for multiple users creates greater information leverage, and eliminates the challenge of searching across multiple archives.
- For Office 365 Compliance Users - Robust Compliance Features that Exceed Native 365 Capabilities: Proofpoint Enterprise Archive provides a number of capabilities to address complex regulatory compliance requirements, including robust retention policy management capabilities, as well as supervisory review features that allow SEC-regulated firms to samples messages with a full review workflow for compliance officers. Proofpoint provides Office 365 customers with the flexibility to address rapidly evolving regulatory and geographic market requirements, while remaining aligned with internal records strategies.
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