Message Archiving

Overview

What is FINRA's compliance resource provider program?

FINRA works with select organizations to offer FINRA firms discounts on products and services that help them comply with securities laws and regulations.

Global Relay is FINRA's compliance resource provider for Message Archiving.

How does this help FINRA firms?

• Global Relay Services assist FINRA firms in meeting SEC Rule 17a-4, NASD Rule 3010 and FINRA Rule 8210.
• FINRA has worked with Global Relay to provide a comprehensive bundle of services for FINRA firms at a special price and terms.
• Global Relay was chosen as a FINRA compliance resource provider through a comprehensive RFP process.

Exclusive Offering for FINRA Firms

What is Global Relay offering through FINRA's compliance resource provider program?

• Access to a full suite of messaging, archiving and search services
• This package is available for FINRA firms at a special per-user monthly price. To request more information, call 1.866.484.6630 to speak with a Global Relay Account Manager.

Additional benefits include:

• Set-up fees are waived for all Global Relay Services
• Unlimited Archive storage at no cost
• Dedicated Account Manager
• Training
• 24x7x365 Support Desk
• Up to 7 year Archive Retention Term, plus Legal Holds
• One year minimum contract term
• Standard Services Terms & SLA

Through its Compliance Resource Provider program, FINRA seeks to assist firms' compliance efforts by finding, reviewing and making third-party tools and services available at discounted prices or with additional features. These tools and services are provided as a convenience to firms, and firms should undertake their own assessments to determine whether they meet their technology and security requirements. FINRA does not endorse these products and firms are not obligated to use them. Their use does not ensure compliance with FINRA rules or other regulations or laws.

FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

What's included?

Customize your package of Global Relay Services. The package includes the following – select any or all of these services:

Archiving

Global Relay Archive is a purpose-built compliance archiving solution, designed to assist firms in meeting FINRA and SEC Rules related to message archiving. Comprehensive compliance, supervisory, audit & eDiscovery tools are integrated into Global Relay Archive.

• Global Relay Archive for Email
  Archive from in-house mail servers, Hosted Exchange & Zimbra Email
• Global Relay Archive for Public Instant Messaging
  Archive AIM, MSN, Yahoo! & GoogleTalk
• Global Relay Archive for Global Relay Messenger/Global Relay Message
  Instant messaging/Persistent chat, files, forms & screenshots. (Global Relay Message: Beta, coming Q3 2013)
• Global Relay Archive for BlackBerry
  Archive Text (SMS), PIN & Call logs (BES)
• Global Relay Archive for Bloomberg
  Archive Instant Bloomberg (IB) & BMail
• Global Relay Archive for Thomson Reuters
  Archive Eikon, Commentaries & Thomson Reuters Messaging (sold through Thomson Reuters)
• Global Relay Archive for Pivot & YellowJacket
  Archive associated messages
• Global Relay Archive for Social Media
  Archive LinkedIn, Twitter, & Facebook^* messages

  * Global Relay proprietary solution coming soon; available now via partner for an additional fee

Search

Global Relay Search provides online access to archived messages for every employee – with unified search across all message types.

• Global Relay Search for Web
  Archive search from any browser
• Global Relay Archive for Mobile
  Archive search apps for BlackBerry & iPhone
• Global Relay Archive for Outlook
  Archive search plug-in for Microsoft Outlook (For Outlook 2007, 2010)

Messaging

• Global Relay Messenger
  Secure, private internal instant messaging
• Zimbra Email
  • Secure email with spam & virus filtering, shared calendars & contacts; desktop & webmail
  • POP/IMAP for Outlook
• Zimbra Continuity Email
  Always-available secondary email system
• Message Hub
  • Join the open community
  • Federate your Microsoft Office Communications Server (OCS) / Lync with Thomson Reuters
• Global Relay Message (Coming Q3, 2013)
  • Secure, fully compliant messaging platform, purpose-built for the financial sector with Desktop, BlackBerry, iPhone & Android clients
  • Federates with Thomson Reuters Messaging
  • Federates with OCS/Lync

Know your Vendor — About Global Relay

Global Relay has unmatched experience in the financial sector. Global Relay is the:

• Exclusive archiving partner of Thomson Reuters
• Archiving provider for over 16,000 customers worldwide
• Largest third party downloader and archiver of Bloomberg messaging worldwide
• Largest hosted public instant messaging archiving partner via Actiance (FaceTime)

Global Relay has not experienced a single instance of data loss or security breach

Global Relay has independent third-party validation, including:

• SSAE 16 Type II (Environmental Controls on each mirrored Data Center)
• KPMG Report on Global Relay Security, Business & Operational Controls

Contact Global Relay for more information about Global Relay's third-party validation.

About Global Relay:

• Global Relay owns, operates and fully manages all software and hardware
• Proprietary software developed by Global Relay with Agile methods
• Privately held, employee controlled & profitable

Global archive solutions:

• Assist firms in meeting FINRA, SEC, and other Compliance Regulations
• Assist firms in meeting Massachusetts Regs, UK, EU and Canadian Privacy Laws
• Support for Multiple Languages and Character Sets

Getting Started with Global Relay

Customer Service & Support

Global Relay supports FINRA firms with world-class technical, legal and compliance expertise, including:

• Setup and training: Global Relay's setup and provisioning process is quick and straightforward. We will provide your firm with training customized to your business needs and offer assistance when setting up your compliance review processes.
• Audit & eDiscovery Services: Global Relay has a dedicated in-house team of experienced professionals whose sole purpose is to assist customers firm with compliance and legal matters. Global Relay offers guidance and support during FINRA audits and exams and legal discovery requests and assists customers with data exports via SFTP.
• Legal & Compliance Services: Global Relay can assist FINRA firms by providing guidance on compliance with message archiving requirements. In addition, Global Relay can act as FINRA's third-party downloader and perform SEC filings on behalf of firms.
• Ongoing Support: FINRA firms are assigned a dedicated Global Relay Account Manager — a point of contact to answer questions and provide support. Our technical help desk is available 24x7x365; a senior support staff member can be reached at any time.

Four Easy Steps to Getting Set Up with Global Relay

1. Global Relay Offering for FINRA firms: To get started, call Global Relay at 1.866.484.6630
    
2. Provisioning & Migration: Global Relay will reach out to your Technical Contact to set up your firm's Archive and begin provisioning the selected Services. We can assist you to import your historical data from PSTs, old archives, etc. Global Relay can also provide SEC Filings and FINRA Third-Party Downloader Undertaking.
    
3. Training: Global Relay will arrange compliance training for your firm. You can also join Global Relay's general webinar training sessions.
    
4. Support: Contact your Global Relay Account Manager any time you have questions. Global Relay provides 24x7x365 phone tech support for all FINRA firms. In addition, the Global Relay Compliance, Audit & Legal Teams are available for assistance.