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By making the most of the advantages offered by mobile communication devices your staff can work harder, smarter and faster than ever before. However, at the same time you have the responsibility of making sure that your company is operating within the compliance requirements set out by the regulatory bodies who oversee your industry.
In general, these regulations cover several key areas: ensuring that mobile communications are secure, archiving all messages for retrieval if required, and monitoring employee communications. If these conditions are not met then it could mean serious consequences for your company. In the past, companies who have been convicted of not meeting compliance requirements have been fined anywhere from several thousand to millions of dollars.
TextGuard’s solutions enable your company to maintain efficiency using mobile technology while working within current regulatory legislation and recently passed mobile mandates. With a TextGuard solution in place, all mobile communications are monitored and archived according to the policies and settings you define. This technology is easily upgradeable with new mobile communication compliance regulations when they arise.
Having a TextGuard mobile communication compliance solution in place eliminates the data security problems presented by the use of mobile communication devices in industries where sensitive information is exchanged. Your staff can rely on the efficiency of instant communications, while you can have the confidence of knowing that the system in place will protect your company from liability.
TextGuard provides complete mobile device compliance and message archiving for every industry, so your business can meet existing and future electronic information storage and retrieval regulations.
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The Financial Industry Regulatory Authority,(FINRA) is the largest independent regulatory body established for securities firms in the United States. FINRA oversees over 643,000 securities representatives, and have succeeded the National Association of Securities Dealers (NASD) as well as the regulatory branch of the New York Stock Exchange.
FINRA aims to educate investors and give them the resources to build their knowledge of financial products and their rights as investors. FINRA’s primary objective is to ensure that emerging issues are addressed in a regulatory capacity before they become problems for investors or the market as a whole. Acting as the catalyst behind many financial industry rules and regulations, FINRA is currently focused on ensuring the appropriate mobile electronic communication compliance rules are established and followed.
How TextGuard Can Help
Provide archiving, monitoring, alerting, supervision and discovery of the electronic communication on the company’s
mobile devices including text messages, pin to pin, and BlackBerry Messenger.
Provide identification, collection, preservation of all data to, from and stored on the company’s mobile devices.
Provide integration with existing archiving solution in all formats to support the e-discovery workflow as defined by the Federal Rules of Civil Procedure (FRCP ).
Automated report scheduling and flagging of messages based upon user defined policies. Immediately creates audit log files and records search activity.
Message archiving can be stored onsite or offsite, with ability to create mirrored storage and web access for authorized personnel.
Provides multiple levels of alerting for targeted content filtering (keyword, flagged state, etc.)
Intuitive system lets you search and retrieve archived messages quickly and easily, with a comprehensive reporting system.
Fully customizable and configurable. SaaS , “on-premise” solution or Hybrid. |
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| TextGuard provides your company complete messaging compliance. |
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The SEC 17a-4 legislation, as well as the NASD 3010 were designed to protect investors information that is misleading or fraudulent allegations made by securities dealers. SEC 17a-4 was amended in 1994 to introduce compliance regulations for electronic communications. Any individual or company that trades securities is bound by these regulations, and violators have previously been fined for more than a million dollars.
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How TextGuard Can Help
All mobile messaging on the company owned Smartphone, (Blackberry, Windows and Android), Blackberry PIN-to-PIN, and Blackberry Instant Messenger are archived in an unwriteable, unerasable format, (WORM), ensuring that no message tampering is possible.
Provides tracking for a single user’s activity over multiple devices and methods of communication. SMS, PIN-to-PIN and Instant Messaging.
Immediately creates audit log files and records search activity.
Robust and customizable reporting system allows users to query archive database and export records to multiple file types immediately or schedules.
Filter records on many levels: internal, external, keyword, flagged, open, closed, etc..
Message archiving can be stored onsite or offsite, with ability to create mirrored storage and web access for authorized personnel. |
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| With TextGuard you can easily implement a complete mobile messaging compliance solution. |
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Amended December 1, 2006, the Federal Rules of Civil Procedure or FRCP relate to the rules of discovery pertaining to electronic records search and retention in regards to evidence discover, or e-discovery. The legislation was change to introduce Rules 16(a)(1),(33) and (34) which establish the fact that electronic information is discoverable.
How TextGuard Can Help
All mobile messaging on the company owned Smartphone, (Blackberry, Windows and Android), Blackberry PIN-to-PIN, and Blackberry Instant Messenger are archived in an unwriteable, unerasable format, (WORM), ensuring that no message tampering is possible.
Immediately creates audit log files and records search activity.
Message archiving can be stored onsite or offsite, with ability to create mirrored storage and web access for authorized personnel.
Data is stored in an evidentiary format, (WORM, Write Once, Read Many) making it impossible to change or delete.
Simple to monitor the communications of any division or employee considered high risk.
Intuitive system lets you search and retrieve archived messages quickly and easily, with a comprehensive reporting system with customizable parameters and delivery times.
Return records based on keyword or key phrases and view chronologically.
Configurable dictionary for policy definition of keywords and alerting. |
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| E-discovery becomes simplified with TextGuard’s integrated archival and reporting solutions for mobile messaging. |
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Rule 3010 of the National Association of Securities Dealers (NASD) establishes that all firms in the financial industry must develop and maintain a supervisory procedure for reviewing any correspondence (written or electronic) that is sent to the public. All said correspondence must be retained along with evidence of who was responsible for the preparation and review of the correspondence. As an additional measure any records related to this security regulation must be made available to the NASD upon request.
How TextGuard Can Help
Intuitive web-based archive interface, customizable to the enterprise’s requirements.
Reporting system allows users to query archive database and export records to multiple file types, daily, weekly, monthly or for pre-defined critical alerts.
Filter records on many levels: internal, external, keyword, flagged, open, close, and reviewed.
Automatic reporting functions based on enterprises specific policies and procedures.
Simple to monitor the communications of any division or employee considered high risk.
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| Find sensitive company communications with TextGuard’s search program quickly and easily. |
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Becoming fully effective in July 1, 2001 the Gramm-Leach Bliley Act is directed towards protecting the rights of individuals in regards to their personal financial information. Companies that deal with financial services, insurance, tax preparation, banking, consumer credit reporting and brokering fall under the jurisdiction of the GLBA. Violations of the Act can result in significant fines of up to $100,000 plus the possibility of jail time.
Highlights of the GLBA
Section 6801 - Organizations must ensure the security and confidentiality of all customer records and information.
Section 6801 - Access to all customer records must be carefully controlled to prevent substantial harm or inconvenience to any customer.
Storage locations containing sensitive customer information must be protected by strong access controls and secure passwords.
Section 6801(b)(1) - companies must ensure that email messages are kept secure and encrypted when being transmitted over a link.
Sensitive customer information must be protected in case of physical disaster or technological failure.
How TextGuard Can Help
All electronic communications are secured and encrypted on the database or at the customer’s existing storage solution.
Immediately creates audit log files and records all search activity.
Use WORM storage (Write Once, Read Many) for tamperproof archival storage.
Message archiving can be stored onsite or offsite, with ability to create mirrored storage and web access for authorized personnel
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| Offering a complete mobile electronic communication compliance solution, TextGuard has you covered. |
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The Investment Industry Regulatory Organization of Canada (IIROC) requires that all correspondence made with clients, as well as any related documents need to be safely stored for five years from the date of creation, including electronic communications. Additionally all sales literature must be stored for two years from the date of creation and all of this correspondence readily available for inspection by the IIROC.
How TextGuard Can Help
Blackberry PIN-to-PIN, Smartphone instant message and ¬SMS archiving mobile devices on your network in real-time, ensuring that no message tampering can occur
Immediately creates audit log files records search activity
Message archiving can be stored onsite or offsite, with ability to create mirrored storage and web access for authorized personnel
Intuitive system lets you search and retrieve archived messages quickly and easily, with a comprehensive reporting system
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With TextGuard’s Enterprise Solutions you can rest assured that your electronic communications are safely stored and easily retrieved.
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According to the Markets in Financial Instruments Directive (MiFID) all electronic communications in regards to securities orders must be recorded. These recordings have to be safely stored for three years before deletion. Additionally these records need to be in an accessible format and readily available to the MiFID for inspection.
The term "electronic communications" in this instance applies to all faxes, emails, text messages, Bloomberg mail, video conferencing, business to business communication devices, as well as instant messages and chat rooms. It also includes any new method of electronic communication that may used in the future.
How TextGuard Can Help
Provide archiving, monitoring, alerting, supervision and discovery of the electronic communication on the company’s mobile devices including text messages, pin to pin, and BlackBerry Messenger.
Blackberry PIN-to-PIN, Smartphone instant message and ¬SMS archiving a company’s mobile devices on your network in real-time, ensuring that no message tampering can occur.
Immediately creates audit log files and records search activity.
Message archiving can be stored onsite or offsite, with ability to create mirrored storage and web access for authorized personnel
Intuitive system lets you search and retrieve archived messages quickly and easily, with a comprehensive reporting system.
Reports can be scheduled by the customer and can be defined “on-the-fly”.
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| With TextGuard’s solutions in place your employees can communicate quickly while your business operates within messaging compliance regulations. |
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| Privacy Policy - Terms of Use - Copyright |
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