AdvisorMail Overview
Archival & Retrieval
Email Monitoring
Rules-based System
Administrative Flexibility & Scalability
Existing Email Systems Compatibility
Security


AdvisorMail Overview

31 Billion emails per day were sent in 2002.
60 Billion emails per day are expected to be sent in 2006*.

(*IDC 2002)

Can your current email management system handle it?

Email is a dominant business communication tool. While the efficiency and practicality of email is a major benefit to most businesses, email poses legal implications and high risks for Financial Services organizations that have to comply with regulatory bodies. The SEC, NASD and NYSE have mandated secure, long-term archival and retrieval of all email including audit trails for retrieval and disposition. 

In the wake of several high-profile books-and-records investigations, financial services organizations find themselves having inadequate email monitoring systems in place, exposed and unprotected to today’s legal challenges. Lacking a proper email supervisory system has proven to be extremely costly and time-consuming.
  • Fall of 2002, five major financial services firms were fined a total of $8.2 million for not preserving email communications.
  • It is estimated that the cost of retrieving email can cost over $1 million per request draining valuable time and resources*. (*Ferris Research, March 2002)

AdvisorMail is the industries most advanced email supervisory system designed specifically for the Financial Services Industry. AdvisorMail’s web based email monitoring and storage system provide organizations the ability to easily and affordably implement an email monitoring solution that meets all SEC, NASD and NYSE requirements.

AdvisorMail’s unique system design offers flexibility and scalability solving the top four-implementation concerns facing financial services organizations. 

  • No Capital Investment: Provides an ASP model with no capital investment required for hardware, software or connectivity.
  • Existing Email Compatibility: Supports multiple email configurations including unique email addresses (johndoe@johndoefinancial.com) and exchange mail servers
  • Maintains Supervisory Hierarchies: Easily integrates field management (OSJ’s or Regional Managers) into the review process upholding supervisory responsibilities.
  • Quick Implementation & Affordable Pricing Structure: Intuitive system design enables speedy integration into any firm’s existing email policy reducing the time it takes to be up and running with monthly hosting pricing scaled to the size of your organization.
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Archival & Retrieval

AdvisorMail is a complete archival management solution. It provides you fast, easy, and accurate access to all your organization's archived email.

Archival and retrieval features include:
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Email Monitoring

AdvisorMail employs proven technology that enables you to quickly automate and improve your current email supervisory process. AdvisorMail scans all emails against a set of business rules, customized by you. You can either choose to quarantine the email, preventing non-compliant emails from reaching their intended recipients, or set the system to post-review, allowing the delivery of the non-compliant email while maintaining a copy for later review. Compliance violations within a trapped email are highlighted for easy review, streamlining your auditing process. Our monitoring editors give you control over your organization's email communication while remaining completely transparent to the end-user.
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Rules-based System

AdvisorMail gives you total control over the words, rules, email addresses and actions of the system based on your organization’s specific needs. The system's effective, easy-to-use rule-based system lexicon uses rule sets that identify suspect words and phrases within an email message. Our address editor enables you to assign appropriate and automatic actions affecting the email activity of specific representatives.
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Administrative Flexibility & Scalability

AdvisorMail’s intuitive design makes it possible to quickly incorporate our system into any firm’s existing email policy reducing the time it takes to be up and running. Unlike other systems AdvisorMail monitors the email configurations used by the majority of field representatives today. Also, it integrates field management (OSJ’s or Regional Managers) easily into the review process upholding supervisory responsibilities. AdvisorMail's global settings control the large-scale decisions made by the system, which play a significant role in the type and total quantity of email that your auditors will have to review. Since there is no investment required for hardware, software, or connectivity, the upfront costs are significantly minimized.
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Existing Email Systems Compatibility

Since the AdvisorMail system was specifically designed for the financial services industry, it can accommodate multiple existing email configurations, requiring zero capital investment in hardware, software, or connectivity and better field representative buy in than other monitoring systems available today. We currently host over 35,000 representative email accounts, and the vast majority of representatives currently use Microsoft Outlook or Outlook Express for their email application and are configured to use email in one of the following three manners:
  • Company / Field Office Exchange Server (jsmith@financialcompany.com)
    By re-pointing the MX record of the email exchange server to the AdvisorMail servers, the email traffic will pass through the AdvisorMail system and all representative inbound and outbound email will be captured and stored for review and retrieval via the AdvisorMail web application. Additional email addresses on the exchange server that do not require monitoring and storage will simply bypass the system entirely and be sent directly to their intended recipient(s).
  • Domain Name Email (jsmith@smithfinancial.com)
    By re-pointing the MX record of the domain name to the AdvisorMail servers, the email traffic will pass through the AdvisorMail system and all representative inbound and outbound email will be captured and stored for review and retrieval via the AdvisorMail web application. Additional email addresses on the same domain name that do not require monitoring and storage will simply bypass the system entirely and be sent directly to their intended recipient(s).
  • 3rd Party Service Provider (jsmith4532@yahoo.com)
    LiveOffice will register a business domain email address effectively separating the representatives business and personal email correspondence. You decide whether the representative picks their own personalized business domain name or if they are provided a standard company domain name.
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Security

Providing safe and secure storage for our client’s data is of the utmost concern to us. This is why we have designed and developed a state of the art enterprise infrastructure taking every precaution to ensure the security of the system is maintained at all times. Our security infrastructure consists of an integrated security solution utilizing hardware, firewalls, intrusion detection, virus software, and 24 hour monitoring- configured in a redundant and load balanced architecture.

Additionally, 128-bit encryption via SSL establishes and maintains the secure access from initial user authentication through session completion. Built in secure application access to your archived emails includes hard passwords, auditor deactivation after consecutive incorrect login attempts and forced passwords expirations.



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