Firms in the financial services industry are required to comply with a number of different regulations enforced by agencies such as:
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.
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.
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:
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.
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:
Intradyn is capable of helping FINRA member firms of all sizes remain compliant with SEC 17a-3, 17a-4, FINRA Communications Rules and more.
SEC-regulated firms can stay up to code with Intradyn’s automated data capture and custom retention policies.
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.
Discover how Intradyn helps a private investment banking firm securely store volumes of data for the long-term.
Find out why Intradyn is the clear archiving solution for financial services firms.