Email Archiving for Compliance and eDiscovery

Our Email Archiving system enables your company to meet your compliance requirements without purchasing any additional hardware or software. Utilizing our state-of-the-art web-based email archiving platform, your company's data can be archived transparently whether you are using our advanced Email Hosting services, Google Apps or your own Microsoft Exchange Server.

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Message Capturing

AdvisorEmail Archiver captures every incoming and outgoing email in real time before delivery to its destination, thus ensuring the integrity of the email and meeting the US regulation for un-tampered and un-altered original email messages. We scan all incoming messages to identify Viruses and Spam. Messages that contain viruses and/or are identified as Spam in the header and protocol level are rejected and are not delivered or queued to be archived. All incoming and outgoing messages for our email hosting customers are archived within the AdvisorEmail Archiver automatically for all email accounts being archived. There are a number of configuration options available, some with added benefits, which you can choose from to archive your Exchange Server emails. No additional hardware or software is required.

Advanced User Control

This state-of-the-art web-based platform provides the capabilities to achieve your compliance requirements with ease and simplicity. It offers multiple search and report options including the ability to:

• Search for specific messages with advance search capabilities
• Add notes to messages
• Review random messages
• Export specific sets of messages periodically or on demand
• Catalog and index messages for faster retrieval using various search algorithms

The Administrator can set up various groups within the domain to separate the compliance activities required for your company. This level of security enables enterprise customers to delegate the management of the archiving and compliance process per department and/or business unit.

Email Compliance Process

As a part of the email compliance process as it relates to Compliance Officers will:

• Optionally scan each of the messages according to preset compliance rules and keyword filters
• Identify which of the messages the system tags for the Compliance Officers review
• Sends an email alert to the Compliance Officer when messages are available for review
• Viewed messages are flagged providing a record for the compliance process
• Auto generate preset messages based on Auto Compliance rules established by your governing agency

Could your company use a cost effective and user-friendly email archiving and retrieval solution? Would it benefit from enterprise-class scalability and efficient E-Discovery search and recovery methods?

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Our robust archiving and management solution:

• Captures all incoming and outgoing electronic communications automatically and security
• Enables easy deployment of a corporate-wide email retention policy
• Allows your company to easily and affordably meet increasingly complex and stringent archiving requirements

Message Search

As a part of the email archiving process, we catalog and index email messages in your archiving account. The indexing capability enables Compliance Officers and other approved users to make fast searches:

• By date of email
• All or selective recipients
• Archive user accounts / email addresses
• Keywords and attachment contents

Auto Compliance Filtering

If required by compliance rules, the system automatically collects information, monitors each of the messages for keyword alerts, and sends a notification to the Compliance Officer when certain conditions are met.  Mulitple filters can be setup using the keywods you choose.  Messages containing these keywords can either be sent to an email address for review or they can be reviewed within the Archive Platform. You can also choose to randomly review a percentage (%) of emails.

Message Export

Email messages archived in AdvisorEmail Archiver are available for you online for the duration of your selected retention period. Archived messages may be accessed and reviewed through our easy to use secure web application at any time.

Periodic / Monthly Exports

AdvisorEmail Archiver automatically creates a monthly export of data added to your archive in that time period. The monthly periodic data for the previous month are available for download at the beginning of each month. All the messages for the previous month are consolidated into a single compressed zip file which is available for download to a local computer or burned on a DVD.

User / Search Exports

It is also possible to create user / search exports based on search results. After a search, all or specific messages from the search result may be selected and added to an export to be exported to your local desktop. This enables you, your auditor, or your attorney to discover specific messages in preparation for legal proceedings.

Email Archiving Audit Trail

An Audit Trail is a critical function of any archiving system, especially during and after E-Discovery, legal, and audit processes. It provides proof to the auditors that the Compliance Officer monitors and reviews the email communications as required by their specific industry regulations.

In an enterprise where multiple users have access to the archive system, access permissions are established to define access control for different departmental groups of archive mailboxes.

Audit Trail enables the Compliance Officer to:

• Monitor other users activities
• Review recent Audit Activities
• Search for a specific activity for a specific login user

The search capabilities include date ranges and over 13 activity types; such as:

• User searches
• Exports
• Email views
• Account modifications

With our Audit Trail functionality, the Compliance Officer can see that on a certain date a user logged in, did specific searches, and viewed a specific email.

Archive Groups enables the creation and management of flexible archive groups based on your company's organizational structure or other requirements. Archive Groups enable the separation of archived mailboxes into specific groups managed by one or more Compliance Officers.

This feature allows emulating the natural structure of an organization where there are different departments and hierarchical responsibilities, such as Sales, Accounting, Management, Operation, etc., which require exclusive and secure access to each group of mailboxes.

Corporate Email contains sensitive and critical organizational knowledge; its access must be controlled and monitored (See Audit Trail). User Groups, in conjunction with the Multi-Level Permission functionality, provides the security, control, and protection necessary for the controlled access of all archived messages and documents.

This functionality enables the Administrator to provide specific permission to a user in order to access and monitor archive mailboxes by groups. Corporate policy may require the management team to provide access to the archive data to specific trusted users.

AdvisorEmail IM Archiving is a client and public network agnostics compatible with AIM, ICQ, Yahoo Chat, MSN Live, Google Talk and more.

The IM Archiving option captures and filtered and stored all chat transcripts to tamper-proof storage and available via web based be monitored and reviewed by the organization's compliance officers.

AdvisorEmail provides a compliance solution to easily retain and supervise Instant Messaging in accordance to FINRA guidelines.

As stated in the FINRA Guide to internet for Registered Representatives, broker-dealers must retain all incoming and outgoing communications including instant messaging (IM) to meet SEC Rule 17a-4 and NASD Rule 2210(b) and NASD Rule 3310.

Bloomberg provides an instant messaging (IM) and email service so their customers can communicate with their clients and other outside email addresses.

Bloomberg instant messaging is a closed communication network for Bloomberg customers only.

AdvisorEmail's web-based archiving platform enables organizations to automatically catalog, index, filter, monitor, review and retain Bloomberg Mail and IM. Bloomberg messages are serialized and time stamped in the AdvisorEmail archiving system. Complaince and Domian Managers can search, filter, monitor, review and comment on Bloomberg Email. As any other AdvisorEmail Archive activities, user actions are tracked in the audit trail to be available later for auditors review.

All communications conducted on Bloomberg Mail and IM are subject to SEC Rule 17a-4, NASD Rule 2210(b) and NASD Rule 3310, and are required to be cataloged, monitored, reviewed and retained on tamper-proof storage.

Retention of Email records is becoming a common and fundamental practice in businesses today. Email is a business asset and a legal document when communicating with employees, partners, vendors, and customers.

Various US Regulations, and most recently the Federal Rules of Civil Procedures, mandate that when required, an email record must be produced in a timely manner as set by the court. Failing to produce the email may result in a penalty and the loss of the case.

Email Discovery through a system, which is not built as an Email Archiving solution, such as Tape backup and other retention methods, can cost thousands to millions of dollars according to market research. Furthermore, email can be lost or not made available in time due to insufficient email retention policy.

Our E-Discovery process is fast and easy to accomplish. E-Discovery requests can be completed anytime using our intuitive online interface.

Searches and results can be:

• Conducted and obtained in real time
• Done based on a specific date or date ranges
• Completed based on information in the From, To, CC, Bcc, Subject, body of the message or within attachments
• Exported to a local computer

The permissions for search capabilities can be set per user or per group, allowing the administrator to permit auditors, lawyers, or specific users that need to conduct E-Discovery, to access sensitive data according to their specific requirements.

Using the Message Notes function, the user can write comments on messages for future reference. Message Notes enables an auditor to tag a message with a note. This feature could be critical for E-Discovery. The auditor can search for a message that contains specific information, which is related to a case that needs to be investigated. At the time of the view, the auditor can tag the message with his/her knowledge and reasoning of the case while it is fresh. Message Notes cannot be deleted or altered. They can only be added thus ensuring the authenticity of the message note.

All user activities are stored and can be queried on the audit trail log.