Itís the rule!
Under the NASD Books and Records Conduct Rule 3110, each member shall make and preserve books, accounts, records, memoranda, and correspondence. Based on the SEC Rule 17a-4, you need to keep a secure archive of all business correspondence, including email, for up to six years. And they are intent on enforcing these rules.

Hereís a simple solution: let our Email Archiving keep you compliant! Our archiving has been created to conform to all relevant regulations and meet the needs of both RIAs and Broker/Dealer compliance departments. If your specific compliance obligations are more complex, we will try to accommodate any additional needs you may have.

What you get:

  • Secure, centralized off-site storage
  • Online access to current and historical email
  • Rapid search and retrieval technology
  • Email is serialized and time-date stamped
  • Administrator-controlled access rights
  • Multi-lingual interface

How it works:

  • Captures an indelible copy of every email attachment and instant message (IM)
  • WORM (Write Once Read Many) back-up with write-verification ensures message integrity and authenticity
  • Advanced dual encryption to ensure privacy, confidentiality, non-disclosure
  • Full audit trails and reports on email history
  • No software, hardware, or programming required
  • Archive supports all mail platforms

AdvisorSites, Inc Email Archiving costs $2,000 per year for the first ten (10) email addresses, with a one-time $1,000 set-up fee.

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