Compliance & Litigation
SEC Letter of Undertaking /Attestation: Rule 17a-4(f)(3)(vii) requires that a 3rd party designee provides a letter on behalf of a broker/dealer representing that they will assist the SEC, or other regulatory agency, in the course of an inquiry. LOU’s must be filed for all institutions that house broker/dealers.
Infrastructure Audit: A complete assessment of your institutions’ e-messaging and user document platforms and policies. We will ascertain how and where users save unstructured content and recommend policies and procedures to control growth and mitigate content risk.
Regulatory and Policy Assessment: A comprehensive document and presentation for senior management outlining the e-messaging landscape as it applies to all divisions, subsidiaries and regulated entities.
Annual Compliance Review: An annual review and certification of an institutions’ e-messaging environment and operational performance to ensure ongoing compliance to all applicable regulations.
Supervisory Lexicons: We work closely with clients on regulatory audits and developing policy to determine the words/ lexicons that should be monitored. We will make updates available to supervisors to determine whether the word/ phrase should be incorporated into their lexicon.
Regulatory Examination Support: Participate in a regulatory examination to provide assistance with e-messaging capture technologies and record formats. We recommended that certain messages (i.e. spam, voice mails sent as emails, incoming EU emails, and system-generated messages) are not captured in an archive. We provide associated documentation to show what types of e-messages are effectively filtered from the archive.
Assessment: Configures all applicable infrastructure/environments and calculates best practices for installation of systems and software.
Agreement: Communicates with in-house IT to share in depth knowledge of products and coordinate all technical operations.
Installation & Implementation: Archival Storage, ESI (electronically stored information) Repositories, Supervisory and e-Discovery Systems and Software.
Resolution: Offers swift resolve to operational issues and provides comprehensive implementation and support services to clients.
Annual Technical Audit: In depth technical review of the archive and content management infrastructure with resulting documentation to identify gaps between current retention policies and procedures and actual technical implementation. The ATA ensures that a compliance officer/general counsel will not be disrupted by a technology issue when a legal or regulatory matter does arise.