Compliance

AN AUTOMATED, EFFICIENT IDENTIFICATION & MESSAGE SURVEILLANCE METHOD THAT ENABLES FASTER RESPONSES TO REGULATORY INQUIRIES

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 Compliance (data sheet)
 Top 5 Global Bank (case study)

With the increase in information access and collaboration, organizations face increasing security vulnerabilities when handling enterprise and client data. Electronic communication creates risks that can compromise corporate policy and violate federal rules. Unified Archive addresses this concern by utilizing advanced content analysis and intelligent lexicon systems to greatly improve the accuracy and efficiency of the supervision workflow. Compliance officers can now monitor, prevent and immediately respond to non-compliant messages through a centralized dashboard. The review interface supports multiple review actions including reviewed, pending, targeted release, questioned or flagged for further action, in many instances cutting the review time by half.

Advanced Supervision Process - Monitor, Analyze, Prevent

KEY BENEFITS

  • Comply with a Single Solution: Compliance with US, EU and sector regulations for email and file retention using a single solution (SEC, NASD, HIPAA). ZL Compliance Manager provides advanced supervision capabilities to help organizations comply with federal regulation and internal governance policies.
  • 100% Capture: Unified Archive provides 100% capture of all data sources including files, emails, IM and Bloomberg for ingestion into the archive.
  • Stop Non-compliant Messages: Unified Archive’s pre-review module scans emails and attachments for potential violations and blocks messages from leaving the organization, thus preventing liability before it occurs. Upon identifying non-compliant messages, reviewers can send “Warning” notifications to users.
  • Unified Lifecycle Management & Retention: Capitalizing on a number of existing capabilities, Unified Archive streamlines the lifecycle management process by centralizing the entire continuum of creation, maintenance, and disposition of corporate data. Unified Archive offers a choice of automatic or manual identification and classification of electronic data based on a wide range of parameters and supports a virtually unlimited number of retention categories.
  • Reduce Review Time: Unified Archive creates a centralized corporate datastore that, in combination with ZL’s industry-leading search performance, serves as an unparalleled response platform for all future unforeseen regulatory or review needs. Compliance officers and reviewers can effectively monitor large quantities of mail while reviewing just a fraction of total mail using statistical and random sampling.