Simple Email Archive
A compliant communication archive and review solution for your RIA regulatory requirement needs.
Email, social media, and website archiving and reviewing need not be complicated. Your time is valuable and traditional email, social media, and website archiving solutions can be slow, tedious, and expensive. If you are looking for a simple archiving solution that works, ask us about our secure SEC and FINRA-compliant solution.
Our solution was built specifically for RIAs to optimize the review process and gain a proactive approach to compliance concerns.
Regulation:
Simple Email Archive meets the requirements of SEC 17a-4(f) and FINRA 2210 record retention, Write Once Read Many (WORM). At no additional charge, RIA Compliance Technology, which acts as the Designated Third Party (D3P), provides required third-party attestation (“Letters of Undertaking”) for regulatory purposes. FINRA issued Regulatory Notice 10-06 and Regulatory Notice 11-39 to provide guidance on the application of FINRA rules governing communications with the public to social media sites and the use of personal devices for business communications. The Notices also remind firms of the recordkeeping, suitability, supervision, and content requirements for such communications.
Social Media & Website Archiving
Does your firm use Social Media?
We work with the top Social Media platforms and can help you automatically collect, archive, and review your employees’ and firm posts.
Do you have a website?
If so, this is a key and critical piece of advertising that must be reviewed and archived.
Let us help you quickly meet your website archiving needs.
