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AdvisorMail: LiveOffice, Email Compliance Software
AdvisorMail: LiveOffice, Email Compliance Software

The most advanced instant message and email supervisory system, enabling organizations like yours to easily and affordably implement an electronic compliance solution that meets all NASD, NYSE and SEC regulatory requirements.

More Info: Email and IM have quickly become the business communication methods of choice for many financial representatives, placing a much greater supervisory burden on their respective broker-dealers.

AdvisorMail scans each email and IM against a set of business rules, customized by you. In the case of email, you can either choose to quarantine the message preventing non-compliant emails from reaching their intended recipients or set the system to post-review, allowing the delivery of the non-compliant email while maintaining a copy for later review. For IM, AdvisorMail captures each chat transcript and stores it for later review, enabling compliance officers to track any questionable behavior.


Category: Finance Articles
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