e-Messaging and Content Audit - A comprehensive assessment of your corporate e-messaging and user document platforms and policies. We will map how and where users save this unstructured content and recommend policies and procedures to control the growth and mitigate the content risk.

Regulatory and Policy Assessment - A comprehensive document and presentation for senior management outlining the e-messaging regulatory landscape as it applies to all subsidiaries, divisions and regulated entities.

Annual Compliance Review - An annual review and certification of an institution's e-messaging environment and its operational performance to ensure ongoing compliance and applicable regulations.

SEC Letter of Undertaking - Rule 17a-4(f)(3)(vii) requires that a 3rd party provide letter on behalf of a broker/dealer representing that they are available to assist the SEC or other regulatory agency.

Annual Technical Audit - An in-depth technical review of the archive and content management infrastructure with a resulting document that identifies any gaps between the current retention policies and procedures and the actual technical implementation. This Audit ensures that a compliance officer/general council will not be surprised by a technology issue when a legal or regulatory matter does arise.