By eliminating the ‘private advisor’ exemption from the Investment Advisors Act of 1940, the Dodd-Frank Act transformed the regulatory environment for Family Offices. Many Family Offices must now register as investment advisors with the SEC or their state. SEC rules require registered advisors to retain written communications relating to their investment advisory business and implement supervisory policies and controls to prevent and detect regulatory violations. Evizone Communications Governance and Compliance Archiving provides a total recordkeeping, supervision, and audit solution for Family Offices subject to SEC and state requirements.
Evizone Communications Governance and Compliance Archiving (ECG) is powerful, quick and easy for end users to access without involving IT specialists.
Evizone Compliance Archiving complies with all applicable regulations such as SEC Rules 17a-3 and 17a-4, FINRA Rules 3110 and 4511, Dodd-Frank Act, Sarbanes-Oxley (SOX) Act, Commodity Futures Trading Commission, Freedom of Information Act, National Instrument (NI) 31-103, Investment Industry Regulatory Organization of Canada (IIROC) Rule 29.7, Mutual Fund Dealers Association of Canada (MFDA) Rules 2 and 5, and Universal Market Integrity Rules (UMIR) Policy 7.1, Financial Conduct Authority (FCA), Prudential Regulation Authority (PRA), UK Data Protection Act (DPA), Health Insurance Portability and Accountability Act of 1996 (HIPAA), Health Information Technology Act (HITECH), Gramm–Leach–Bliley Act (GLBA) and the General Data Protection Regulation (GDPR).
Compliance Archiving with our ECG Solution is especially interesting for Financial Service companies. Below you can find more information about Compliance Archiving for Financial Services. Click on one of the links below to find out more about what ECG can offer these verticals.
FINANCIAL SERVICES OVERVIEW
- Compliance archiving for FINRA Broker Dealers
- Compliance archiving for Hedge Funds
- Compliance archiving for Registered Investment Advisors
- Compliance archiving for Swaps, Futures & Commodities
- Compliance archiving for Private Equity
- Compliance archiving for Family Offices
- Compliance archiving for Canadian Financial Firms
- Compliance archiving for United Kingdom Financial Firms
Our ECG solution is also interesting for Health Care Organizations, Insurance, Law Enforcement, Legal Professionals, Government, Organizations in the Eurozone and public companies. ECG is ideal for any organization that needs secure electronic communications storage with cost effective, automated support for compliance and review.
Features
Click a feature in the table below to learn more about the great features of ECG.
What can ECG compliance archiving do for your Financial Services Organization?
Reduce costs and risk through automated review of all electronic communications.
Enforce retention policies through life cycle management of documents and messages.
Comply with SEC Rule 17a-4. Prove supervision and compliance with a complete tamper-proof archive of all communications and reviews, satisfactory to regulators.
Allow access to auditors and regulators while preserving confidentiality.
Deliver massive cost savings through reduced penalties, fines, legal costs, business disruption, IT hours and data storage.
