Compliance Archiving for Pivot 360™
Pivot 360™ is an integrated collaboration platform for the financial services industry. Its suite of integrated messaging tools is designed to help buy-side or sell-side firms generate more transaction revenue by managing their communications more efficiently.
Global Relay Archive for Pivot 360 lets your firm take advantage of the powerful features of this integrated messaging platform while remaining compliant with regulatory requirements. A cloud–based service, Global Relay Archive provides secure archiving of every Pivot 360 message sent to, from or among the employees in your firm — ensuring compliance and control.
Enable the compliant use of Pivot 360 — Financial industry regulations such as SEC Rule 17a-4, FINRA Rule 4510, NASD Rules 3010, and others require all electronic business communications to be archived and monitored — including instant messaging and collaboration platforms such as Pivot 360. Global Relay Archive for Pivot 360 securely captures and preserves Pivot 360 messages, allowing your firm to comply with these requirements. With Global Relay, your Pivot 360 messages are automatically archived in the cloud, enabling you to view, retrieve and export any message — anywhere, anytime.
Message Supervision & Review — The powerful, intuitive tools for message supervision and monitoring built into Global Relay Archive let compliance officers and managers perform detailed reviews of all electronic communications, including Pivot 360 messages. This allows firms to meet regulatory requirements for message monitoring and review while facilitating employee supervision and HR policy enforcement. Since all users' Pivot messages are automatically captured and archived, a perfect record is created of "who said what when".
How it Works
- Each day, Global Relay downloads a copy of all your firm's new Pivot 360 messages.
- Global Relay Archive indexes and archives each message for search and retrieval purposes.
- The messages are time-date stamped, serialized and written to tamper-proof storage to meet compliance requirements.
- Pivot 360 messages are automatically routed to a Pivot 360 system folder in Global Relay Archive for easy online access and identification.
- Pivot 360 messages can be reviewed within Global Relay Archive alongside all other supported message types (email, instant messaging, Bloomberg, etc.)
- Global Relay Archive supports a variety of access privilege levels to support various roles in the organization, such as Compliance, Legal, Managers, and Standard Users.
In addition to message text, Global Relay Archive displays a number of additional detailed attributes of each Pivot 360 conversation to allow precise message review. This information includes:
- About each conversation: time, duration, number of participants, name of initiator
- About each participant: name, arrival and departure time, number of messages sent