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| AdvisorMail |
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| Outsource Your Message Compliance & Archiving
to the Experts |
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The AdvisorMail email and instant message (IM) archiving
and compliance solution meets the stringent recordkeeping requirements
of the financial services industry, including:
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- SEC Rule 240 (17a-3, 17a-4), SEC Rule
204-2 (Investment Advisors Act of 1940), SEC Rule 203(b)(3)-2
(Hedge Fund Registration)
- NASD Rule 3010, NASD Rule 3110, NASD Notice to Members 98-11,
NASD Notice to Members 03-33
- NYSE Info Memo 03-7
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In addition, AdvisorMail satisfies archiving
requirements for regulations outside of financial services,
including:
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- Gramm-Leach-Bliley Act (GLBA)
- Health Insurance Portability and Accountability Act (HIPAA)
- Sarbanes-Oxley, Section 404
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The AdvisorMail product suite works with a variety
of corporate mail servers including MS Exchange, Lotus/Notes
Domino and Novell Groupwise, which means most users are able
to retain their existing email addresses
AdvisorMail is one of the most cost effective message management
solutions available today and does not require additional investments
in
hardware or software prior to deployment. As an on-demand service,
all software enhancements, updates and maintenance are included
in the solution price.
As an added benefit, AdvisorMail’s attorney-client privilege
feature makes it the ideal choice for legal and evidentiary discovery
searches. Whether compliance personnel, attorneys or auditors
request copies of messages, AdvisorMail makes it quick and easy
to organize, search and retrieve messages at any time.
For regulatory requirements or corporate governance needs, the
AdvisorMail suite offers a comprehensive solution for monitoring
and retaining emails and instant messages (IM compatibility includes
AOL, Yahoo!, MSN, Bloomberg). |
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| The
AdvisorMail Suite |
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| AdvisorMail |
| AdvisorMail is designed for
organizations with 15 or more email addresses and is currently
in-use at 42% of the nation’s leading, independent broker-dealers.
The system scans all internal, inbound and outbound emails
and attachments for compliance violations. AdvisorMail also
captures, scans and stores all instant message transcripts.
Any time AdvisorMail finds a compliance violation in a message
or transcript, it is electronically routed to compliance personnel
for further review. |
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| AdvisorMail
Lite |
| AdvisorMail Lite has all the functionality
of AdvisorMail, but is priced to cost effectively meet the
email and IM archiving and compliance needs of registered investment
advisors (RIA) with 15 or fewer email addresses. The system
comes standard with the eAuditor+ lexicon, a comprehensive
list of potentially non-compliant words developed in conjunction
with some of the country’s leading compliance consultants.
AdvisorMail Lite enables compliance personnel to randomly sample
or retrieve messages at any time and ensures that messages
are safely stored in a tamper-proof, online repository. |
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| AdvisorMail HF |
| Similar to AdvisorMail Lite, but designed
to meet the needs of busy hedge fund firms, AdvisorMail HF
quickly scans and stores all emails and instant messages in
a tamper-proof, online repository. The system comes standard
with the eAuditor+ lexicon, a comprehensive list of potentially
non-compliant words developed in conjunction with some of the
country’s leading compliance consultants. With AdvisorMail
HF, compliance personnel are able to conduct random searches
of messages at any time in order to adequately meet regulatory
requirements and can rest easy knowing that all communications
are safely stored in a tamper-proof, online repository. |
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| For more information, please visit www.advisormail.net. |
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