Compliance Archiving Overview

Corporate regulators have introduced stringent compliance archiving requirements regarding electronic communications in response to the explosive growth of email & instant messaging (IM) as principle business communication tools. Global Relay Archive is specifically engineered to meet the compliance archiving monitoring, auditing, privacy and business continuity requirements for highly regulated industries including:

Financial Services

Global Relay provides robust compliance archiving and supervision solutions for the Financial Services industry, including:

Broker-Dealers / Exchange Members

  • SEC Rule 17a-4 (Core Compliance Archiving Rule)
  • NASD Rules 3010, 2211, 2711
  • FINRA Rules 2210, 2310, 3130, 4370, 4510
  • FINRA Regulatory Notice 07-59 (Supervision Guidelines)
  • FINRA Regulatory Notice 10-06 (Guidance on Blogs and Social Networking Web Sites)

Investment Advisor

  • SEC Rule 204-2
  • SEC Rule 206(4)-7

Hedge Funds

  • SEC Rule 203(b)(3)-2

Investment Dealers (IIROC)

  • IDA By-law 29.7
  • UMIR Policy 7.1
  • IDA By-law 17.19 (BCP)
  • OSC 52-111

Futures & Transfer Agents

  • CFTC Rule 1.31
  • NFA Rule 2.9
  • SEC Regs. 17ad-6 & 17ad-7

Public & Global Companies

Global Relay provides a turnkey Compliance Archiving and Supervisory solution to enforce and monitor internal controls, provide audit trails, promote corporate governance and full disclosure, providing compliance with:

  • Sarbanes-Oxley Act (2002)
  • Graham-Leach Bliley Act (1999)
  • PIPA & PIPEDA (Canada)
  • USA Patriot Act (2001)
  • UK & European Data Protection Acts
  • Massachusetts Privacy Regulation 201 CMR 17.0
  • FSA Policy Statement 10/17 (Taping of Mobile Phones)

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Health Care Organizations

Global Relay's Compliance Archiving solution preserves and confidentially secures the lifelong records of patient care and personal information under Health Insurance Portability and Accountability Act of 1996 (HIPAA).

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FRCP

Email can be legally admissible as evidence in court. Our archiving technology enables you to rapidly produce evidentiary-quality email records with full audit trails on email and IM history. Global Relay's Compliance Archiving and eDiscovery solution encrypts and securely protects electronic data ensuring that privacy, confidentiality and non-disclosure obligations are upheld.

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