Description
Email remains the critical method of communications for firms and their representatives. Yet, firms are challenged by stringent FINRA and SEC regulations addressing the supervision and recordkeeping of electronic communications and instant messaging. As the use of digital communications continues to increase, monitoring email has become an essential component of a comprehensive compliance program. In order to avoid compliance risks and organizational challenges, such as audits, eDiscovery requests, subpoenas, negative publicity and litigation, firms must enforce a strong supervision policy and implement an effective monitoring and archiving solution.