Email Compliance

AdvisorMail is a complete system, enabling you to easily and affordably implement an electronic solution that meets all the message archiving & email compliance requirements facing your company.

AdvisorMail meets all the regulatory requirements as set forth by the SEC, FINRA, NYSE, Sarbanes-Oxley Act, HIPAA, Gramm-Leach-Bliley Act and the FRCP for the proper handling of email and IM communications.

How It Works

AdvisorMail scans outbound and inbound emails and text attachments against a customized lexicon of words and phrases regarding specific areas of concern for your company (such as compliance, regulation, client complaints, legal threats, etc.)

Outbound Emails, IMs & Attachments

Once someone drafts an email and hits “SEND”, the message is scanned by AdvisorMail for non-compliant content. If the language is determined to be compliant, the email is sent to the intended recipient.

If non-compliant language is detected, you decide how the correspondence is handled based on what’s best for your firm. Either the email is “trapped” until a compliance officer approves or rejects it (in Pre-Review mode), or the email is sent to the intended recipient and also placed in a folder for review by an auditor at a future, non-immediate date (in Post-Review mode).

Inbound Emails, IMs & Attachments

AdvisorMail scans inbound emails and text attachments against your customized lexicon to work as an “email finder” for non-compliant communication. Similar to outbound emails, the Pre-Review or Post-Review modes can be selected for any inbound email address or even for an entire domain name. Any “trapped” inbound email can be returned to the sender for editing prior to being sent to the intended recipient.