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- How Compliant is YOUR Email Archive?
- Failure to archive your emails can have dire consequences for your business. Do any of these regulations impact you? Sarbanes-Oxley SOX Act HIPAA Gramm-Leach Bliley Act GLBA Securities and Exchange Commission SEC Rules National Association of Securities Dealers NASD Rules Investment Dealers...
- Resource centers 2008-03-01
- Compliance: SEC 17a-4/NASD 3010/3110
- In the wake of the 1928 stock market crash and the uncovering of widespread securities fraud, the U.S. Congress enacted the Securities Exchange Act of 1934. The Act seeks to protect investors from fraudulent or misleading claims in the securities industry and requires extensive record keeping, reviewing, and auditing by...
- White papers 2007-04-17
- Search Tool Helps NASD Save Time, Gain Better Management Capabilities
- NASD is the primary private-sector regulator of the United States securities industry. It oversees the activities of more than 5,100 brokerage firms, approximately 105,000 branch offices, and more than 650,000 registered securities representatives. The organization relies on electronic document analysis to investigate complaints and examine NASD-regulated firms. As part of...
- Case studies 2006-02-01
- Get IT Done: IT pros must stay in compliance with e-mail retention laws
- By Ruby Bayan"Proactive e-mail management is very compelling when confronted with the monetary penalties, bad press, regulatory oversight, and investor's loss in confidence that can result from inaction," said Randolph Kahn, ESQ. Kahn is a principal with Kahn Consulting, Inc. and an internationally recognized authority on the legal, compliance, and...
- Technical articles 2003-08-18
- Jargon Watch: Investment terms
- As you research a company, offering, or particular market that you might like to invest in—or look into starting your own company—you may come across a few unfamiliar terms. This week's Jargon Watch will help you get up to speed on common investment lingo.Do you know all you need to...
- Technical articles 2000-01-21
- Securities Firm Avoids NASD Penalties With FaceTime IMAuditor
- Instant messaging IM is posing supervisory, recordkeeping and compliance challenges for securities trading firms. Though this form of real-time communication may not be as mature as e-mail and paper-based communications, it is not exempt from the compliance standards set forth by the NASD and SEC. FaceTime IMAuditor provides 100% accurate...
- Case studies
- Securities-Industry Regulator Streamlines Development, Delivers Unique Tool
- Seeking a practical way to boost the functionality and versatility of an online tool used by millions of investors, IT executives at NASD deployed a new version of the tool with the help of the Microsoft Visual Studio 2005 development system. Enlisting the product's support for the Master Pages feature...
- Case studies
- Abel/Noser Meets Regulatory Requirements for E-mail Recordkeeping and Monitoring With Help From EMC
- As a brokerage firm, Abel/Noser is subject to the regulations of the Securities Exchange Commission SEC, the National Association of Securities Dealers NASD, and the New York Stock Exchange NYSE. When the SEC released rules 17a-3 and a-4, regarding e-mail record retention and storage, the Vice President of the company...
- Case studies
- Entire Firm Uses Assentor for SEC/NASD Compliance and to Respond to Litigation
- One of the largest leading providers of private banking services and one of the largest asset managers globally became an early adopter of Assentor in 1998 because it was the only solution to provide a sophisticated and robust compliance tool to meet their needs. Assentor addresses the firm's challenge of...
- Case studies
- Adirondack Electronics Markets Complies With SEC and NASD Regulations Regarding Email Retention and Supervision, Reducing Risk
- Adirondack Electronics Markets AEM is a broker/dealer that represents agency and proprietary orders on the Exchange. AEM needed to achieve full compliance with SEC and NASD requirements regarding email retention and supervision, and to provide legal protection from the risks and costs of email discovery and litigation requests. AMC implemented...
- Case studies
Additional Resources
- CA Message Manager: IM Link
- Instant messaging is fast becoming a critical tool for time-sensitive business communication. More organizations employing instant messaging as real time collaboration tool with partners, customers and employees. Inherent these conversations are business critical information, which should be centrally managed. Archiving IM is essential in the financial services industry, where the...
- White papers 2005-12-01
- Investment Banking Firm Easily Passes Audits With Comprehensive Hosted Archiving
- As a global investment banking company, RSM EquiCo Capital Markets must follow many regulatory requirements for the monitoring, retention, and retrieval of e-mail messages. Although it had a rudimentary archiving solution in place, the company was unsure it could meet all legal requirements. When the firm learned it was to...
- Case studies
- EMC EmailXtender Products and EMC Centera Provide Time and Cost Savings and Reduce e-Mail Recovery Times
- Adirondack Electronics Markets AEM, a privately held company and member of the International Securities Exchange ISE, is the primary market maker of the ISE. AEM was seeking a solution to help it comply with Securities Exchange Commission SEC, (National Association of Securities Dealers NASD, and Sarbanes-Oxley requirements regarding e-mail retention...
- Case studies
- Email Records Management and Compliance "Best Practices" for the Insurance Industry
- Within the insurance industry, the Gramm-Leach-Bliley Act of 1999 preempted state laws regarding the sale of insurance products by financial institutions and their affiliates. The Act permits affiliation between banks and insurance companies, and imposes certain customer protections and dispute resolution procedures, as well as allowing states to impose certain...
- White papers 2004-11-01
- Microsoft Office System Webcast: Gaining a Competitive Edge in Capital Market Operations With Real-Time Communications (Level 100)
- Nowadays investment banks, brokerage houses, and asset management firms are implementing innovative approaches for persistent group messaging that streamline market operations and deliver a competitive edge. This webcast shows how real-time communications and persistent group chat technologies can help the organizations to increase net trades and trading profits, coordinate market...
- Webcasts
- CNL Investment Company: "Vision Creating Value" With Sage CRM SalesLogix
- CNL Financial Group represents approximately 3,000 retail, restaurant, hospitality, retirement, corporate office, and industrial properties in 49 states, with combined assets of more than $8 billion. CNL Investment Company CNL is the support arm to its sales division, raising capital to purchase real estate and pay investor dividends. The sales...
- Case studies
- Business Crisis and Continuity Management Consulting Delivers Greater Compliance, Lower Exposure to Risk, and Increased Peace of Mind to the Financial Services Industry
- Integra Financial is part of the Walnut Street Securities WSS "Supply Chain" and therefore, subject to many of the same regulatory and legal requirements such as GLBA, OFAC and NASD Rule 3510. In order to maintain compliance with the policy of MetLife and its affiliated companies, including Walnut Street Securities,...
- Case studies
- Financial Firms Using Communicator Inc's Hub Connex Group Chat to Share Market Information
- Hub Connex launched its enterprise group discussion Forums in 2001 and now hosts over 5,000 group Forums, with the world's largest broker-dealers and hundreds of investment management firms and hedge funds. The Hammerstone Group, an investment partnership and trading application provider, uses Hub Connex to connect over 100 professionals across...
- Case studies
- Decision Support: Put IM archiving on your compliance to-do list
- Is IM on your watch list for compliance? Maybe it should be. In the face of recent scandals, state and federal lawmakers have been drafting a plethora of policies to enforce stricter record keeping practices among publicly held companies and greater accountability from corporate officers. But many analysts predict this...
- Technical articles 2004-01-07
- IT faces regulatory requirements for electronic communications archiving
- by Steve Kenniston, Senior Strategist,Connected CorporationThis article grapples with one of the hottest business andtechnology issues facing companies today: What do you do with all your data?One thing is certain: We're all under pressure to keep more data for longerperiods of time, with greater consequences surrounding its entire life cycle.At...
- Technical articles 2004-06-21
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