RIA Compliance Archiving & Monitoring

Overview

Regulators no longer tolerate inadequate recordkeeping and supervision of electronic communications. To address the explosive growth of email and instant messaging as critical business communication tools, SEC Rules 204-2 and 206(4)-7 of the Investment Advisors Act require Investment Advisors to implement a compliance archiving & monitoring solution to archive and supervise all electronic communications such as email, attachments, Instant Messaging (AOL, MSN, Yahoo, GoogleTalk, etc.), Bloomberg®, Thomson Reuters, BlackBerry, Social Media and more.

Global Relay Archive and Compliance Reviewer are specifically engineered to provide a total compliance solution for Investment Advisors subject to the stringent compliance requirements of the SEC in connection with electronic business communications.

SEC Compliance Guidebook