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• > The Freedom of Information Act
• > FDA 21 CFR Part 11
• > HIPAA
• > SEC 17a (3, 4)
• > NASD Rule 3110 & NYSE Rule 440
• > IDA 29.7 (Canada)
• > Investment Advisors Act
• > Sarbanes-Oxley
• > PIPEDA (Canada)
• > Gramm-Leach-Bliley
• > FRCP

Email Compliance

Odds are very high that your organization or firm is subject to some regulation on how to retain records. Some industries face stricter rules than others ie. health care organizations are governed by different rules than the financial sector as they need to adhere to HIPAA guidelines. Regulations are something that just about any organization has to deal with. However, the real challenge is to know which guidelines to adhere to and to keep up to date as they are constantly changing.

Common regulations that organizations adhere to include:

• The Freedom of Information Act
• FDA 21 CFR Part 11
• HIPAA
• SEC 17a (3, 4)
• NASD Rule 3110 & NYSE Rule 440
• IDA 29.7 (Canada)
• Investment Advisors Act
• Sarbanes-Oxley
• PIPEDA (Canada)
• Gramm-Leach-Bliley
• FRCP

Compliance – How It Works

Organizations form all industries or services have the daunting task of monitoring electronic messages to ensure the strict adherence to regulatory or corporate policies. Jatheon’s Plug n Comply™ appliances offer the ability to set policies that messages are compared to in real-time.

Messages received by the archive are compared to the user created polices and any messages that violate the established policy will have a pre-determined action triggered. This action may include notifying the offender directly; notify the offender’s manager, or notifying the organizations Compliance Officer.

The Compliance Officer can review the statistics maintained by the appliance; detailed statistical information is maintained on a daily basis. Compliance Officers can review the detailed violation statistics by rule.