Security Applications White Papers
Securities Firm Avoids NASD Penalties With FaceTime IMAuditor
Overview Instant messaging (IM) is posing supervisory, recordkeeping and compliance challenges for securities trading firms. Though this form of real-time communication may not be as mature as e-mail and paper-based communications, it is not exempt from the compliance standards set forth by the NASD and SEC. FaceTime IMAuditor provides 100% accurate message archiving, supervisory review, workflow standards and integration with WORM storage systems. With IMAuditor's search and reporting tool, the securities firm was able to easily access specific IM conversations and quickly export transcripts on request.
| Publisher | FaceTime Communications | File Format | |
|---|---|---|---|
| Date Published | June 2007 | ||
| Format | Case Studies | ||
| Topics | |||
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