How It Works

The AdvisorEmail™ Archiving system enables you to be in compliance without any additional hardware or software to buy.

When you are using AdvisorEmail™ Hosting Services, our system automatically archives all your outgoing and incoming mail for your archive users. There are a couple of configuration options, some with added benefit, that you can choose from to archive your Hosted Exchange accounts. Either way, you are not required to install additional hardware or software to archive your email with AdvisorEmail™.

The messages are cataloged and indexed to enable faster retrieval using various search algorithms. Each of the messages are scanned according to preset compliance rules to identify which of the messages need to be tagged for review by the Compliance Officer. The Compliance Officer can get alert when messages need to be reviewed. Messages that are viewed are flagged thus providing another record for the Compliance Officer adherence to regulations.

AdvisorEmail™ Archiving provides you the capabilities to be compliant with simplicity. It enables administrators to search for specific messages with advanced search capabilities, review random messages, and export specific sets of messages.

There are multiple security levels of user permissions that provide extra security when accessing the email archiving platform. The Administrator can set up various groups within the domain to associate search activities and access messages. For example, the administrator can set up a sales group of archive users and a designated person can be allowed to search that group mail. This level of security enables enterprise customers to delegate the management of archive monitoring to departments or/and business units.

AdvisorEmail’s motto of Simplicity with Advanced Technology, gives you the freedom to manage your business while meeting your email compliance needs.

Message Capturing

AdvisorEmail™ Archiving captures every incoming and outgoing email in real time, before it is delivered to its destination, thus ensuring the integrity of the email and meeting the US regulation to for “un-tempering and un-altering” the original email message.

All incoming messages are scanned to identify viruses and Spam. Messages that contain viruses and/or are identified as Spam in the header and protocol level are rejected and will not delivered or queued to be archived.

The email message is captured at the SMTP Protocol level and put into the AdvisorEmail™ Archive Queue for processing by the AdvisorEmail™ Archive Cataloging Process. The AdvisorEmail™ Archiving Queue contains the email message and its attachments, the list of the recipients and the source of the message for further integrity and consistency check.

Message Cataloging and Indexing

AdvisorEmail’s catalog and indexing system processes the messages in the Archive Queue. Each message is parsed and dissected to extract the list of recipients; To:, CC: , Bcc:, the archive users, the attachments, the HTML, and the text format of the message body. These message components are indexed and cataloged in a way that will enable faster searches and retrieval by the end user using a Web Interface. In addition, the messages are parsed for keywords and indexed, which enables fast keyword searches by the end user.
The indexing enables the users to make fast searches by date, all dates, selective recipients, archive users, keywords, and/or attachments.

This process also collects information and monitors each of the messages for keyword alerts and sends a notification to the Compliance Officer when certain conditions are met.

Message E-Discovery

Retention of Email records become a common and fundamental practice in businesses today. Email is a business asset and a legal document when communicating with employees, partners, vendors and customers. Various US Regulations, and most recent the Federal Rules of Civil Procedures, mandate that when required, an email record must be produced in time as set by the court. Failing to produce the email may results in penalty and lose of case.

Email Discovery through a system that is not build as an Email Archiving solution, such as Tape backup and other retention methods, can cost thousands and millions of dollars according to market research. Furthermore, email can be lost or not available in time due to incompetent email retention policy.
AdvisorEmail’s E-Discovery process is fast and simple to use. The user can conduct the search from anywhere on the web. The search is done on line and the results are given in real time. The user can select email by date range, From, To, CC, Bcc, Subject, Attachment or keywords. The results or subset of them can be exported immediately to the user desktop.

The search capabilities permissions for the various archive users and groups can be set as per user. Thus, allowing the administrator to allow auditors, lawyers and various users that need to conduct the E-discovery to access sensitive data according to the specific needs.

Using the Message Notes function, the user can comment on messages for future references. Message Note enables an auditor to tag a message with a note. This feature is critical for e-discovery. The auditor can search for a specific message that contains specific information which is related to a case that needs to be investigated. At the time of the view, the auditor can tag the message with his knowledge and reason of the case while it is fresh in his/her mind. Message Notes can not be deleted or altered only added thus ensuring the authenticity of the message note.

Administration & Control

An easy and simple to use account administrator interface enables the account holder to effectively manage the archive services. Our interface provides the administrator with the capability to set the compliance rules. Additionally, the administrator can create and set users that have a function in the compliance process (such as compliance officers and auditors). The interface provides administrators with the capability to review random messages, set keyword filtering, and review messages that are identified to contain the selected keywords. Various users login can have various permissions to protect the messages from being viewed by the wrong users.

The interface was designed to simplify the Compliance Process while provide the protection that law required from Alerts notifications to real time advance search to selected message export. Furthermore, in its essence, the advance and immediate search enables companies to conduct e-discovery in minimum time to meet the evidence production required by the law such as FRCP.

Message Export and DVD

AdvisorEmail™ archived emails are available online for years as required by your business. You can access it 24x7x365 over the web to search and monitor the activities of all your email accounts. Often you may be required to download the messages onto a DVD for your own sense of security and safety.

AdvisorEmail™ export capabilities enable you to download all monthly email messages, including specific messages retrieved through search results. The monthly periodic messages, if required, are available to download at the first of each month. All the messages of the previous month are consolidated to one zip file that you can download and save onto a DVD for your own personal record keeping. After a search, you can select all or specific messages from the search result to be exported to your desk top. This enables you, your auditor, and your attorney to discover specific messages in preparation for legal proceedings.

Archive Security

Archive Groups provide the ability to organize users in groups. This feature mimics the natural structure of an organization where there are different departments and hierarchical responsibilities. Email is critical communications and it contains sensitive and critical information of the organization and the access to it must be controlled and monitored. The Archive Group in conjunction with the Multi-Level Permission provides the security, control and protection that an organization needs to have when managing the archive. The Administrator can organize the archive users to groups that correlate to the organization structure such as Sales, Accounting, Management, Operation and more. This enables the Administrator to provide permission to a specific user to access and monitor archive users by groups. It might be critical in organization to provide an access to archive users of the management team to only specific trusted person such as the CEO, CIO or COO.

Audit Trail

Audit Trail is one of the key function of an archiving system and it is critical during and after E-Discovery legal and audit process. It provides proven evidence to the auditors that the Compliance Officer monitors and reviews the email communications of its business, as required by market regulations.

In an enterprise multiple department email archiving organization where multiple users have an access to the archive system, a multiple level user and security permission is set to control the access to different department groups of archive user emails.

The Compliance Officer can monitor the user activities through the Audit Trail functionality. The CO can see recent Audit Activities or search for a specific activity for a specific login user. The search capabilities includes from to date and over 13 activities type functions such as user searches, export, email view and account modifications. For example, the Compliance Officer can see that on a certain date, a user logged in, did a specific search and view specific email.

Broker Dealers

Abiding by SEC, NASD, and NYSE regulated policies, broker-dealers must systematically maintain, review, and modify supervisory procedures designed for regulatory compliance. Email archiving and document retention allow broker-dealers to preserve uniform records of all electronic correspondences had by registered representatives with customers.

Your Email Storage Guardian

Broker-dealers are advised by the SEC to use any form of electronic storage media which will exclusively preserve the firm’s electronic documents in “non-rewriteable” and “non-erasable format.” Our turn-key solution has continued to demonstrate resiliency to unauthorized administrator access and electronic tampering methods. With no reported incidents of data loss or security breaches, you can feel confident in providing your firm with front line email storage guardianship.

Our Technology is Your Technology

Designating a chief compliance officer to engineer a well managed compliance procedure is required for broker-dealers under current NASD regulations. We provide CCO's with a customizable and flexible solution to exercise dynamic search and retrieval of digital evidence, guarantee message authenticity with unique electronic signatures, and ensure email security with world-class virus protection. You can't find reliability in your email, or can you? Our technology is your technology.

Email Audits

Is the phrase “NASD approval” music to your ears? Does it make you breathe a deep sigh of relief? Our email archiving and compliance application has the iron-willed capabilities and results that broker-dealers need to outline audit trails and supervisory reviews. Leave the preparation and handling of your business related emails to us while you focus on strengthening company objectives and internal operations. Looking for NASD smiles? So are we. Email compliance has a name, its called AdvisorEmail™.

Hedge Funds

Regulated audits conducted by the SEC (Securities and Exchange Commission) have propelled Email Archiving to the “must have” status for virtually all of the nations Hedge Funds. Hedge Fund Managers are required to comply by preserving email for up to 7 years and adhering to electronic record requests by regulatory bodies.

Elite Audit Compliance

Email compliance with the SEC has been a reluctant process for a noticeable amount of hedge funds. However, if you are a hedge fund manager you have stumbled upon the perfect audit solution. Our AdvisorEmail™ Archiving Solution will monitor all of your electronic records containing performance fees, management fees, leverage loans, and accredited investor communications. When you think of elite audit compliance, we want you to think of AdvisorEmail™.

Our Accessibility is Your Accessibility

With the SEC dictating that emails must be preserved in an easily accessible place for the first 2 years, it is critical that your archived documents are easily retrievable. We provide hedge funds with state-of-the-art email server scalability to ensure consistent access to pertinent electronic documents. Hedge Fund Managers might be bound by regulatory bodies such as the SEC, NASD, and NYSE, but with AdvisorEmail™ Archiving speed and results go hand in hand, our accessibility is your accessibility.

Outsourced Archiving

A low cost and reliable email archiving service is a valuable asset for any hedge fund, especially when the cost to upgrade technology and hire additional staff is often counteractive to productive business operations. Simply put: why waste the network capacity and resources of IT capabilities with access to such a quality and efficient solution? It is our privilege to do all of your archiving for you, with no hassle or stress. We hope AdvisorEmail™ Archiving becomes an extension of your own operation.