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Intradyn for Financial Services

Ensure regulatory compliance and avoid hefty fines and penalties with Intradyn’s financial email archiving solution.

The Importance of Compliance for Financial Institutions

Firms in the financial services industry are required to comply with a number of different regulations enforced by agencies such as:

  1. Financial Industry Regulatory Authority (FINRA)
  2. U.S. Securities and Exchange Commission (SEC)
  3. Federal Financial Institutions Examination Council (FFIEC)
  4.  Financial Conduct Authority (FCA)
  5. Sarbanes-Oxley Act (SOX)

With so many regulations to keep track of — and so many opportunities to run afoul of compliance — financial institutions are faced with the considerable challenge of managing and retaining all business-related electronic communications in order to protect themselves from fines, penalties and loss of business.

The Importance of Financial Email Archiving for Regulatory Compliance

Ever since the Dodd-Frank Act was implemented in 2010, the financial services industry has been under increased scrutiny. Although firms have always been required to archive data related to business transactions and financial activities, Dodd-Frank introduced new regulations, such as FINRA and SEC 17a-4, that make financial email archiving an absolute necessity.

The Federal Deposit Insurance Corporation (FDIC) also has stipulations concerning retention. According to the FDIC’s record retention requirements, its policies and procedures apply to the record storage of covered financial companies, including email databases. In order to remain compliant with the FDIC’s email retention requirements, firms should invest in a comprehensive financial email archiving solution.

How to Implement a Legal Hold on Your Company’s Electronic Information

Protect Your Firm’s Records With the Intradyn Financial Email Archiving Solution

Intradyn’s Email Archiver offers a predictable cost structure and the best total cost of ownership in the financial email archiving market, regardless the size of your firm. With our Email Archiver, you can:

  • Automatically archive all email records
  • Comply with FINRA, SEC, FFIEC, FCA and SOX regulations
  • Satisfy eDiscovery requests
  • Easily redact sensitive information from archived emails
  • Automate a litigation hold across one or more email addresses
  • Instantly administer policies, user access and connections to mail servers

Our Email Archiver works with all email providers, offers a user-friendly interface and comes with three deployment options: virtual, cloud-based and physical hardware.

Take Regulatory Compliance a Step Further

Although social media and text messaging have become popular modes of communication because of their convenience, they also pose a challenge to firms because all messages sent via social media or text are subject to financial regulations. Intradyn’s text messaging and social media archiving solutions make it possible for financial services firms to:

  • Securely store messages,
  • Quickly search for specific files and
  • Set access controls to ensure regulatory compliance.

Social Media Archiver

  • Archive for Facebook, Instagram, LinkedIn, Twitter and more
  • Create automatic, unalterable records of social media messages
  • Digitally sign (256-bit) and time stamp all content
  • Place legal holds on content in case of eDiscovery requests
  • Export social media content in RAW or PDF format
  • Use social media platform APIs to gather data in near real-time

SMS/Text Messaging Archiver

  • Get support for multiple carriers across multiple devices
  • Categorize and index SMS/MMS, WhatsApp and text messages and metadata
  • Produce mobile communications in native and standard non-native format
  • Archive for BYOD, CYOD and employer-issued models
  • Find messages by phone number or content
  • Export complete or partial messages in native or PDF format
  • Use one-click detail drill-down to view metadata
  • Apply legal hold tags in case of eDiscovery requests
  • Customize your solution for your enterprise configuration

Ideal for Any Financial Services Organization

Broker-Dealers

Intradyn is capable of helping FINRA member firms of all sizes remain compliant with SEC 17a-3, 17a-4, FINRA Communications Rules and more.

Investment Advisors

SEC-regulated firms can stay up to code with Intradyn’s automated data capture and custom retention policies.

Lenders

Intradyn’s robust archiving capabilities enable lenders to remain compliant with FFIEC and FTC regulations, as well as Fair Lending Laws.

Futures & Transfer Agents

Firms registered with the National Futures Association can rely on Intradyn’s email archiving services to ensure SEC, NFA and CFTC compliance.

One Powerful Archiving Software, Three Deployment Options

Intradyn at work

Discover how Intradyn helps a private investment banking firm securely store volumes of data for the long-term.

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A clear Archiving Solution

Find out why Intradyn is the clear archiving solution for financial services firms.

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