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- 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...
- Tags: Natural Language Processing, Compliance, SEC, NASD, Litigation, iLumin, Assentor, Asset Management, Banking, Operational Planning, Business Operations, Financial Services
- Case studies
Additional Resources
- 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...
- Tags: Compliance, E-mail, Best Practice, Insurance, Financial Planning, Business Operations, Corporate Insurance, Finance
- White papers 2004-11-01
- CA Message Manager Provides the Storage Management and Discovery Features Liberty Requires to Achieve Its Corporate Message Management Strategy and Support Its Company-Wide Retention Policies
- Liberty Healthcare Group/Liberty Medical Supply (Port St. Lucie, FL) is the nation's leading direct-to-consumer provider of diabetes supplies and related products and services. Liberty customers are contacted on a Liberty instituted a company-wide policy to archive all email messages to comply with internal and external regulations, improve customer service and...
- Tags: Strategy, Storage Management, Computer Associates International Inc., E-mail, Litigation, Storage, Online Communications, Business Operations, Hardware
- Case studies
- Lock IT Down: E-mail surveillance may be a necessity at your company
- Security and legal regulation may require some form of e-mail surveillanceE-mail surveillance is an important issue in the banking and financial services industry for preventing security leaks. But the technology for e-mail surveillance may soon become your responsibility, regardless of your industry. When should you consider monitoring your firm’s incoming...
- Tags: Mary Ann Fitzharris, Thompson, e-mail surveillance, e-mail, SRA International Inc., SEC
- Technical articles 2000-02-17
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