Messaging is the lifeblood of doing business today. As such, email must be secure, protected and reliable - available on demand. For some industries, such as banking and financial services, today’s corporate landscape is further defined by self-regulation, internal and external auditing, and law-based obligations. This dense and complex matrix of regulations results in a dual type of legal exposure: for the organizations corporately and for their officers and senior managers personally. For other industries, such as legal services, the standards for the handling and retention of email traffic are very stringent, particularly with respect to client privacy and the proper treatment and retrieval of electronic evidence. No matter what industry your business belongs to, our high-performance solutions will not only maximize the investment in your messaging infrastructure, but will give it robustness and stability to handle increased email volume and storage concerns, known and unknown threats, and regulations that legislate transmission of corporate electronic data.

Regulatory Compliance 

• SEC Compliance - SEC rules 17a-3 and 17a-4 require that brokerage firms implement and enforce messaging policies that meet very specific requirements for storing and accessing records, including email, to make these records readily accessible and be retained for a period of no less than 3 years.
• NASD Compliance - NASD requires registered members to establish and maintain supervision review procedures for all email correspondence.
• Sarbanes-Oxley Compliance - The SOX Act applies to all publicly traded companies. Sections 302 and 404 regulate the requirements for email policies and the handling, transmission, and storage of email, including confidentiality, secure transmission and storage, tracking and logging of email traffic, audit trail, and message indexing and retention.
• Gramm-Leach-Bliley Compliance - The GLB Act regulates the handling of non-public personal information and applies to all financial institutions and many businesses that keep such customer-related information.

Many regulations, one solution: GWArchive
GWArchive provides broker-dealers with an easy-to-use, fully secure solution for SEC and NASD compliance with real-time search and discovery, supervision, and enforcement features. In addition, GWArchive has the capability for tamper-proof storage of data to ensure it is not modified and meet SOX and GLB requirements. Auditors can view and search the message repositories and review messages based on specific criteria. 100% message retention can be attained to prevent messages from being deleted from the trash before they have been captured by the archival system.

Legal discovery

• EDiscovery - As dependence on email continues to grow, so has the role it plays in litigation. Email is now just as likely to be requested for legal discovery as are paper-based records. You need tools to deal with eDiscovery requests when they happen and to protect you before they happen. GWArchive offers a robust search engine and the capability to search, retrieve, export, and securely store electronic records requested in litigation on portable media for easy access and quick information review.
• Audit Trail - To meet the requirements for a legal eDiscovery scenario, two standards must be met: records may not be deleted or altered in any way within a stated retention period and records must be complete, including all original content and metadata. GWArchive provides a complete audit trail by recording the creation, access and deletion of any mail message by auditors. The system records message access by user based on network login ID, as well as time and date of the access.
  
• Data Portability - GWArchive provides a mechanism whereby records may be exported in standards-based, platform-independent XML format, placed on portable media, and viewed, searched and printed independent of the GWArchive system.

Policy-based email management

• Intelligent Spam Filtering - Empower your end users to control the email they receive while enforcing policies that will ensure that your company's reputation remains intact and your collaboration system doesn't get bogged down by unwanted onslaughts of spam and other threats without having to worry about false positives. M+Guardian's intelligent spam engines are always current because they are adaptive to new categories of spam and are automatically updated requiring no human intervention.
• Multi-Layer Virus Protection - Protect your email system against viruses, worms, trojans and netbots by incorporating advanced virus technology. M+Guardian includes a dedicated virus engine that is automatically updated and features pro-active threat analysis to detect and mitigate virus outbreaks faster than signature-based solutions.

• Identity-Based Management - Manage your policies directly with Novell eDirectory, LDAP, or Active Directory to control email and archive access policies for groups, individuals, or across the entire organization. M+Guardian's and GWArchive's policy-driven engines help you enforce your corporate email usage and retention policies seamlessly and consistently with the necessary granularity crucial for corporate business and financial services.
  

Enterprise-Class

• High Availability & Performance - Corporate firms and finacial services organizations require reliable, enterprise-class redundancy and performance. Clustering, load balancing, multi-threaded scanning, and optimized message store allow our solutions to deliver high availability and unsurpassed performance. M+Guardian and GWArchive offer enterprise-level performance with the necessary level of built-in fault tolerance to provide improved data availability and simplified management of rapidly growing systems.
• Scalability - Our solutions are routinely used by organizations with 100 or 100,000+ users. They are designed for enterprise-scale deployments on multiple servers in various geographic locations while centrally managed through a platform-independent web-based interface. Scalability means that our solutions can be deployed to meet the requirements of even the largest corporations. Whether your scope is local, national or international, we fit your needs.
  
• Reporting & Monitoring - Our solutions deliver easy to understand operational and management reports in both tabular and graphical format. Our real-time monitoring service proactively eliminates unexpected server and service failures by monitoring and analyzing specific performance values. Alerts, warnings and long-term trends are used to plan, predict, and respond to failure.

More

• More Information - This is just the tip of the iceberg as to how our solutions can be applied in the financial services and corporate sector. To discuss how we can help with the specific requirements of your organization, please speak with an Expert.