Multi-channel communications archive for easy search and compliance with regulatory recordkeeping requirements.
MCO’s eComms Keep solution provides firms with comprehensive communications archiving and management, enabling demonstrable compliance with regulatory and recordkeeping requirements.
MCO’s eComms Keep communications archiving solution allows firms to store messages according to firm retention policies for easy searchability across all historical communications.
- A consolidated repository archives messages from multiple mediums in one place for demonstrable compliance with regulatory books and records requirements.
- Cross-channel reporting and analysis plus robust search capabilities facilitate expedient research and e-discovery and enhance digital communications compliance.
MCO’s eComms Keep communications archiving solution provides firms with a secure, cloud-based archive service for all communication types to support operational and compliance needs.
- Simplify research with threaded and de-duplicated multi-recipient messages
- Collect and retain groups of communication records using cases to support investigations
- Override retention policies with legal holds and export files for third-party access
- Provide employees with easy access to all archives of their communications across channels
- Capture and retain communications for a specific period of time to meet regulatory compliance requirements
- Archive data from numerous sources, including, Email, Bloomberg, Reuters, ICE Chat, Skype, WhatsApp, Signal, SMS, Teams and others
Universal archive for consolidated storage
Capture mobile communications and emails in a single repository, enabling a universal communications archive search to expedite compliance investigations and provide a holistic understanding of communications risk.
Intuitive and targeted search and discovery
A singular archive provides the firm with easy access to multi-channel stored communications via one simple and integrated search function. Comprehensive and easy-to-use search functionality lets users filter by key criteria, allowing for rapid, iterative and ad-hoc investigations on any subject. Results are quickly generated, even across volumes of historical communications.
Case management for efficient and effective e-discovery
Collect and maintain groups of communication records using cases for efficient shared tracking of ongoing investigations. Comments and activity are captured throughout the e-discovery process for context and a demonstrable audit trail. Query results can be easily shared with internal stakeholders and regulators from within the platform or via export. Threaded messaging, automatic de-duplication and multi-recipient message tracking simplify the research process.
Compliance with regulatory books and records requirements
The capture and retention of electronic communications is mandated by regulations across the globe including FINRA’s Rules 3110 and 4511, SEC Rule 17a-3, FCA Senior Management, Arrangements, Systems and Controls Sourcebook Section 10A and IIROC Correspondence Rule Subsection 3603.
eComm Keep lets firms capture and retain mobile communications and emails for a specific period of time to adhere to firm policies and local regulatory requirements for books and records retention. The system can be configured to meet varying digital communications compliance obligations for individual employees based on role within the firm. Compliance can preserve documentation related to investigations and easily prove compliance with regulatory requirements with a demonstrable audit trail.
Maximize Digital Communications Compliance with Comprehensive eComms Archiving and Search
It’s a regulatory imperative that firms manage and archive the electronic communications that employees are sending—and a core part of an effective employee compliance program. Failure to implement policies and procedures that include off channel communications, failure to monitor and enforce those policies or failure to properly archive communications in accordance with recordkeeping requirements will continue to result in costly regulatory actions.
eComms Keep and eComms Review provide comprehensive communications monitoring and archiving management and enable demonstrable compliance with regulatory and recordkeeping requirements. Choose the solution that best fits your current needs or implement both for end-to-end eComms surveillance and communications archiving coverage.
MCO’s eComms Keep communications archiving solution is part of the Know Your Employee (KYE) suite that comprehensively addresses employee compliance. KYE is part of the MyComplianceOffice integrated platform that automates compliance oversight (Know Your Obligations), compliance programs for supply chain and third party operations (Know Your Third Party) and transaction surveillance compliance (Know Your Transaction). The interconnected suites with a centralized data center cost-effectively and comprehensively address the challenges of maintaining and proving regulatory compliance and minimizing the risk of misconduct and conflicts of interest.
*Fairwords was acquired by MCO on June 13, 2023. Learn more here.