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| AdvisorMail |
| Fact Sheet |
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| Fulfilling all SEC, NYSE, and NASD regulatory requirements for email compliance. |
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| Complete Email Monitoring |
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Each email sent by a member of your organization will be audited. |
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Email that violates your rules will be electronically "trapped" for auditor review. |
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Both textual content of emails and attachments are screened for adherence to compliance rules. |
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The system highlights compliance violations with in the email for easy review. |
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"Fuzzy" logic isolates misspelled key words. |
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Emails can be located quickly using built-in filtering and sorting features. |
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Emails may be reassigned to additional auditors for review. |
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Optional auditor's notes travel with the life of the email. |
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| Customizable Rules-based System |
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Pre-populated and fully customizable compliance library with over 1000 "suspect" industry standard keywords and phrases. |
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Unlimited keywords and phrases can be used to screen emails. |
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Select action (reject, approve, audit) and frequency of action (every one, second, third email, etc.) to a domain name and/or specific email addresses. |
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All compliance rules are archived and can be recovered by a specific date. |
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Audits emails from unique email addresses (johndoe@johndoefinancial.com). |
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| Flexible Administrative Controls |
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AdvisorMail supports two tiered email monitoring (i.e. Corporate and OSJ offices). |
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You control your auditors' administrative privileges. |
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Email notification feature alerts auditors that email is awaiting their review. |
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You determine email hold time, auto approvals, and default text for rejected email. |
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Our "Testing Mode" allows emails to reach intended recipients while AdvisorMail continues to screen for compliance rule violations (post-review). |
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Append a message to all emails passing through AdvisorMail to promote your products or services initiatives. |
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| Historical Archiving |
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All outgoing email is archived for at least 3 years. |
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All compliance rules are archived and can be recovered by a specific date. |
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| Future Upgrades |
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Ability to create accounts with read-only access. |
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Audit incoming email. |
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Trap email based on attachment type. |