RIA Compliance Archiving & Monitoring


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