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Financial Services
Enabling Security and Compliance for Financial Services Firms

FINRA Compliance

Empower your people to communicate at the speeds necessary to stay competitive, we’ll keep you covered with FINRA compliance

Keeping the world’s financial institutions informed in an increasingly competitive business environment depends on instant access to communication, collaboration, and social networks. Make decisions faster and stay ahead of the pack - all with the compliance your business requires to meet strict FINRA rules and regulations.

Automate Supervision of Communications

FINRA makes it clear that any communications on social business platforms are clearly within the auspices of the duty to supervise.  To ensure FINRA compliance, organizations must capture and monitor all communications to ensure that any representations to the public are based on the principles of fair dealing.  Financial institutions have a duty to supervise and prevent forbidden communications such as misleading statements, exaggerated claims, and predictions of investments.

The Actiance platform provides companies with the ability to filter content for messages posted to a wide range of real-time communication tools, social networking sites, and webmail (e.g., Gmail) to ensure that all messages are appropriate.  Suspect communications can be automatically blocked and user notifications sent to train individuals on appropriate messages.

Set Ethical Walls to Deter Conflicts of Interest

FINRA compliance requires taking steps “to reduce, manage or eliminate potential conflicts of interest, to prevent electronic communications between certain individuals/groups or monitoring communications as required by FINRA rules.”  The Actiance platform allows you to set ethical walls at both a group and domain level to ensure that conflicting personnel do not accidentally “meet” in virtual forums.  Obtain full audit trails that clearly displays when an individual joined a meeting and subsequently left.

Meet Recordkeeping Requirements with a Full Context Archiving System

Members have a duty to capture and preserve communications, including instant messages (IMs), voice communications and group meeting sessions.  FINRA compliance means deployment of a central archiving system that enables easy review of posted messages in full context and detailed analysis of electronic conversations, including file downloads both internally and externally, complete with a comprehensive audit trail.

Automate Supervision of Communications

Financial regulations make it clear that any communications on social business platforms are clearly within the auspices of the duty to supervise.  To ensure compliance, broker dealers – including independent broker dealers and the broker dealer affiliates of major financial institutions, hedge funds, investment advisers and audit companies - must capture and monitor all communications to ensure that any representations to the public are based on the principles of fair dealing.  Broker dealers have a duty to supervise and prevent forbidden communications such as misleading statements, exaggerated claims, and predictions of investments.

The Actiance platform provides companies with the ability to filter content for messages posted to a wide range of real-time communication tools, social networking sites, and webmail (e.g., Gmail) to ensure that all messages are appropriate.  Suspect communications can be automatically blocked and user notifications sent to train individuals on appropriate messages.

Set Ethical Walls to Deter Conflicts of Interest

Broker dealer compliance requires taking steps “to reduce, manage or eliminate potential conflicts of interest, to prevent electronic communications between certain individuals/groups or monitoring communications as required by FINRA rules.”  The Actiance platform allows you to set ethical walls at both a group and domain level to ensure that conflicting personnel do not accidentally “meet” in virtual forums.  Obtain full audit trails that clearly displays when an individual joined a meeting and subsequently left.

Meet Recordkeeping Requirements with a Full Context Archiving System

Members have a duty to capture and preserve communications, including instant messages (IMs), voice communications and group meeting sessions.  Broker dealer compliance means deployment of a central archiving system that enables easy review of posted messages in full context and detailed analysis of electronic conversations, including file downloads both internally and externally, complete with a comprehensive audit trail.

Unified Security Gateway - is the only Secure Web Gateway to combine feature and content controls of social networks alongside the monitoring, management and security of Web 2.0 applications, such as instant messaging, with URL filtering, anti-malware and Web anti-virus protection.

Socialite - enables you to control, regulate and moderate social networking activities. From granular content, features and activity control to the moderation of subject matter posted and the archiving of posts and activities, you can confidently enable. Socialite is available as a module of USG, as a SaaS solution, or as a hybrid (i.e., on-premise and hosted) solution.

Vantage - is used by the world's largest firms to ensure security, management and compliance for Unified Communications - from presence and instant messaging to conferencing and voice - to safely enhance business productivity and responsiveness without endangering network security.