It’s 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.
Here’s 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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