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How Compliant is YOUR Email Archive?
White Paper National Association of Securities Dealers (NASD) Rules Do any of these regulations impact you? Failure to archive your emails can have dire consequences for your business. Sarbanes-Oxley (SOX) Act HIPAA [05 Aug 2008]
Compliance Made Easier - Osterman Webinar
White Paper The compliance webinar, "Why You Need to Focus on SEC & NASD," featuring Michael Osterman from Osterman Research, demonstrates the various compliance issues companies face and how MessageLabs can help you comply with these regulations.document... [19 Jun 2008]
Compliance: SEC 17a-4/NASD 3010/3110
White Paper NASD 3010/3110 are part of comprehensive regulations enacted and enforced by the National Association of Securities Dealers on behalf of more than 5,000 registered financial institutions and investment funds. [15 May 2008]
CNL Investment Company: "Vision Creating Value" With Sage CRM SalesLogix
White Paper The sales group manages more than 70,000 records in its customer database, 700 items in its promotional item inventory, and complicated SEC, NASD, state, and broker/dealer regulations governing fulfillment. [22 Jan 2007]
Abel/Noser Meets Regulatory Requirements for E-mail Recordkeeping and Monitoring With Help From EMC
White Paper As a brokerage firm, Abel/Noser is subject to the regulations of the Securities Exchange Commission (SEC), the National Association of Securities Dealers (NASD), and the New York Stock Exchange (NYSE). [02 Feb 2006]
Complying with SEC and NASD Regulations
White Paper This is especially true for banks and other financial services firms, which must comply with strict SEC and NASD requirements for records retention. This white paper explains how the IM capabilities that are built into Omnipod’s Professional Online... [20 Jan 2006]
Compliance and Email Management Solutions for the Financial Industry
White Paper While this whitepaper is directed towards compliance officers in the financial industry, the information can be of benefit to all compliance officers, human resources departments, and legal professionals in a variety of industries affected by... [27 Sep 2005]
Entire Firm Uses Assentor for SEC/NASD Compliance and to Respond to Litigation
White Paper Assentor addresses the firm's challenge of needing an infrastructure in place to handle the capacity for an email archival system that allows the company to be fully compliant with SEC retention regulations, while also offering an advanced... [15 Sep 2005]
Adirondack Electronics Markets Complies With SEC and NASD Regulations Regarding Email Retention and Supervision, Reducing Risk
White Paper AEM needed to achieve full compliance with SEC and NASD requirements regarding email retention and supervision, and to provide legal protection from the risks and costs of email discovery and litigation requests. [31 May 2005]
Abel/Noser Meets Regulatory Requirements for Email Recordkeeping and Monitoring With Help From LEGATO
White Paper As a brokerage firm, Abel/Noser is subject to the regulations of the Securities Exchange Commission (SEC), the National Association of Securities Dealers (NASD), and the New York Stock Exchange (NYSE). [31 May 2005]
