We've loved having SECCAS as our email archiving and compliance solution. The implementation support was great. The service is easy to use and and very supportive of our review protocols.

Q/A

Technical

Security

Customer Focus

Legal



Firms have to remember that regardless of the informality of instant messaging, it is still subject to the same requirements as e-mail communications and members must ensure that their use of instant messaging is consistent with their basic supervisory and record keeping obligations.

- Mary Schapiro, Chairman, NASD

Broker Dealers/RIAs

The SEC ruled that brokerage houses must, under penalty of law (specifically SEC 17a3/4, NASD 3010 and Sarbanes-Oxley Act 2002 "SOX") control all electronic communications.

SECCAS is a cross-platform ASP solution that works for companies running in-house mail server software as well as for most companies outsourcing their email. Through the SECCAS interface, the compliance officer can simultaneously review email, IM, Bloomberg, and faxes on the same screen. All email that has been reviewed is marked for compliance and will carry the record of who the reviewer was and when the letter was marked for compliance.

SECCAS does not require any hardware installation at the client site. The compliance officer can simply access the information over the Internet with a web browser. This approach permits review from any computer connected to the Internet.

Instant Messenger conversations are captured at the desktop. Installation is straightforward and captured conversations are integrated into the single compliance interface for review. The use of network-based proxy server IM solution used in many in house solutions can also be integrated into the SECCAS user interface for those clients requiring a more robust solution.

Bloomberg email and messaging archives are created by Bloomberg at the client's request and integrated into the compliance interface. SECCAS will parse the Bloomberg archives and allow the compliance manager to open a single message.

Faxes can be integrated into the system with a fax server or with an SEC compliant fax machine that can forward faxes to email.