Since the enactment of SEC rule 17a-4, firms have struggled to meet their baseline regulatory requirements to retain, make accessible and produce emails and other forms of electronic communications (“eComms”). iManage Comply delivers industrial strength technology for global financial services firms and broker-dealers subject to SEC rule 17a-4 to defensibly capture, hold and produce electronic communications in a highly scalable and secure platform.
Scalable eComms archiving, reporting and supervision
- Secure scalable repository, based on Internet leader best practices.
- Reliably ingest and index high volume communications.
- Apply Legal Hold effectively across millions of assets.
- Respond to time sensitive regulatory requests with robust search capabilities.
- Filter out business spam and non-responsive items prior to export.
- Easy, intuitive review and supervision interface, streamlines review, approval and escalation.
Ingest and archive eComms at scale
Robust auditing and reporting capabilities across the entire life-cycle of every archived item from ingestion to disposition, makes it easy for compliance and IT teams to identify potential issues before they compromise regulatory obligations.
Intuitive administrative dashboards, alerts and reports highlight ingestion and indexing issues such as corrupt or encrypted messages that could impact search and policy violation fidelity.
Preserve content subject to legal hold and implement disposition strategies consistent with your records retention policies.