Compliance Regulations

LiveOffice's email archiving and compliance solutions satisfy the following regulatory requirements for the proper handling of email and instant message communications.

Federal Rules of Civil Procedure (FRCP)

The Federal Rules of Civil Procedure apply to any organization that has the potential to be involved in litigation in the U.S. Federal Court system. The amendments, which went into effect on December 1, 2006, mandate that companies be prepared for legal discovery. The organization must know where their data is, how to retrieve it and how to meet data requests.

Financial Industry Regulatory Authority (FINRA)

The Financial Industry Regulatory Authority (FINRA) is the largest non-governmental regulator for all securities firms doing business in the United States. FINRA oversees nearly 5,100 brokerage firms, approximately 174,000 branch offices and more than 672,000 registered securities representatives.

Gramm-Leach-Bliley Act (GLBA)

The Gramm-Leach-Bliley Act (commonly called GLB or GLBA) is also known as the Financial Modernization Act of 1999. The GLB Act includes provisions to protect all consumers' personal financial information held by financial institutions.

Health Insurance Portability and Accountability Act (HIPAA)

HIPAA calls for national standards for electronic healthcare transactions and requires organizations that deal with electronic patient healthcare information to protect the security and confidentiality of that data.

Hedge Fund Transparency Act (HFTA)

The Hedge Fund Transparency Act is aimed at closing a loophole in securities law that allows hedge funds to operate without considerable supervision.

Sarbanes-Oxley Act (SOX)

The Sarbanes-Oxley Act, commonly called SOX, sets forth records management and retention policies for all public companies. SOX was enacted in 2002 in response to corporate scandals involving large, public corporations.

U.S. Securities and Exchange Commission (SEC)

SEC Rules 17a-3 and 17a-4 set record-retention standards for brokers-dealers. Rule 17a-3 spells out which records brokers-dealers must keep current, while Rule 17a-4 specifies how long those records must be kept. Rule 17a-4 was amended in 1997 to allow broker-dealers to store records electronically, including email and instant messages.