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AdvisorMail is a complete system, enabling you to easily and affordably implement an electronic solution that
meets all the message archiving & email compliance requirements facing your company.
AdvisorMail meets all the regulatory requirements as set forth by the
SEC, NASD, NYSE,
Sarbanes-Oxley Act,
HIPAA
and the
Gramm-Leach-Bliley Act
for the proper handling of email and IM communications.
How It Works
AdvisorMail scans outbound and inbound emails and text attachments against a customized lexicon of words and phrases regarding
specific areas of concern for your company (such as compliance, regulation, client complaints, legal threats, etc.)
Outbound Emails, IMs & Attachments
Once someone drafts an email and hits “SEND”, the message is scanned by AdvisorMail for non-compliant content. If the
language is determined to be compliant, the email is sent to the intended recipient.
If non-compliant language is detected, you decide how the correspondence is handled based on what’s best for your firm.
Either the email is “trapped” until a compliance officer approves or rejects it (in Pre-Review mode), or the email is
sent to the intended recipient and also placed in a folder for review by an auditor at a future, non-immediate
date (in Post-Review mode).
Inbound Emails, IMs & Attachments
AdvisorMail scans inbound emails and text attachments against your customized lexicon to work as an “email finder” for
non-compliant communication. Similar to outbound emails, the Pre-Review or Post-Review modes can be selected for any inbound
email address or even for an entire domain name. Any “trapped” inbound email can be returned to the sender for editing
prior to being sent to the intended recipient.
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