Hyperlinked email disclaimer service
Fully compliant with a broad range of regulatory requirements
Provides the legal protection required for corporate emails
Eliminates flagging and retention removing the burden to archival storage
Drastically reduces erroneously flagged content during e-discovery
Defensible authentication of linked connection
Managed repository for multi-lingual and conditional variations
Email disclaimers are necessary to protect rights and responsibilities but can prove burdensome to Compliance and IT. This is especially true when time is of the essence in response to an SEC or FINRA regulatory request for an e-discovery production. 17a-4’s e-disclaimer is a hyperlinked email disclaimer service that’s fully compliant and drastically reducing erroneously flagged content during e-discovery.
Regulations insist that institutions attach a disclaimer to all corporate emails. However the language of the disclaimers, words like confidential, privacy, guarantee etc., can result in unnecessary flagging by regulatory supervisory systems (FINRA Rule 3110 and IAA 203) increasing costs of legal reviews and e-discovery productions. The flagged content is archived along with the email’s full text, resulting in a large amount of usable space occupied by inconsequential content at a considerable cost. Full text email disclaimers can account for as much as 15% of space in an archive. A hyperlinked solution simply eliminates flagging and retention of these items in the archive.
Many institutions require multiple disclaimers due to departmental requirements and the current international corporate environment. Disclaimers must fit applicable government regulations and, of course, contain appropriate language. The institution must also provide the testimony of authentication and the verification of “chain of custody”.
17a-4’s solution addresses the defensible authentication of the linked connection. Most hyperlinked disclaimers being used in corporate email cannot provide the required authentication and, as a result, are not legally enforceable. If an organization simply deploys a hyperlink to a webpage with a full disclaimer, they’ve failed to authenticate the connection and are not legally defended. There is no verifiable proof that, at the time of the email, that specific disclaimer was valid and linked. The legality of the disclaimer is negated unless each email can be proven to connect to a specific e-disclaimer as it reads at the time of attachment.
17a-4’s e-disclaimer proves the integrity of the hyperlink by managing a repository on behalf of clients. The repository contains all disclaimers used by an institution, including multi-lingual and conditional variations such as e-messaging and social networking disclaimers.
17a-4 offers discounts on e-disclaimer when purchased as part of their 17a-4 Compliance Services Suite. The suite includes bundled offerings that address the needs of financial compliance officers including: Designated 3rd Party / Letter of Undertaking & Attestation, Foreign Corrupt Practices Act, Dodd-Frank Act / CFTC letter under 17 CFR 1.31 and the SEC Compliance DeskTop software that provides support for international research (SEC Rule 15a-6), institutional research (FINRA Rule 2210), customer complaints (FINRA Rule 4530) and outside business activities (FINRA Rule 3270).