» RECENTLY SEC-REGULATED HEDGE FUND
For this client, we met with IT, compliance and legal representative and developed a archive specification. In this document, we addressed such issues as:
- Separation of off-shore/ EU from the SEC-regulated entities;
- Separation of privileged communications from the main archive;
- Specified retention periods for each archive folder;
- Outlined procedures for managing legal/ regulatory holds;
- Determined various short-cutting or stubbing policies in order to bring the information size of the Exchange server to an optimal size;
- Reviewed 3rd party e-messaging and collaboration platforms which would need to be captured for compliance, (i.e. Bloomberg, Blackberry SMS, Microsoft OCS and SharePoint)
» LARGE MID-WEST BANKING INSTITUTION
For this client, we reviewed the email regulations in each of its subsidiaries and presented a report outlining the retention periods applicable to each. Using these regulations as a starting point, we then engaged senior management to discuss additional business policies complementing the legal requirements. These policies included human resource, intellectual property, and other general business issues. We then outlined the recommended steps to implement a solution for managing email retention and disposition in accordance with both regulatory and business policies.
» NYSE LISTED PUBLIC COMPANY
This client had three issues:
- To reduce the size of the information stored on their email servers.
- To convert legacy email files onto an archival platform for internal litigation and records management requirements.
- To address certain requirements of Sarbanes-Oxley.
After studying the existing email platform and legacy store, we presented an archival solution which not only effectively addressed each of the above requirements, but actually provided a positive Total-Cost-of-Ownership through creating a more efficient information store. |
