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| Abiding by SEC, NASD, and NYSE regulated policies, broker-dealers must systematically maintain, review, and modify supervisory procedures designed for regulatory compliance. Email archiving and document retention allow broker-dealers to preserve uniform records of all electronic correspondences had by registered representatives with customers.
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| Broker-dealers are advised by the SEC to use any form of electronic storage media which will exclusively preserve the firms electronic documents in “non-rewriteable” and “non-erasable format.” Our turn-key solution has continued to demonstrate resiliency to unauthorized administrator access and electronic tampering methods. With no reported incidents of data loss or security breaches, you can feel confident in providing your firm with front line email storage guardianship.
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| Designating a chief compliance officer to engineer a well managed compliance procedure is required for broker-dealers under current NASD regulations. We provide CCO's with a customizable and flexible solution to exercise dynamic search and retrieval of digital evidence, guarantee message authenticity with unique electronic signatures, and ensure email security with world-class virus protection. You can't find reliability in your email, or can you? Our technology is your technology.
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| Is the phrase “NASD approval” music to your ears? Does it make you breathe a deep sigh of relief? Our email archiving and compliance application has the iron-willed capabilities and results that broker-dealers need to outline audit trails and supervisory reviews. Leave the preparation and handling of your business related emails to us while you focus on strengthening company objectives and internal operations. Looking for NASD smiles? So are we. Email compliance has a name, its called Simplicato.
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Email Hosting
